Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 1 of 88

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK

MICHAEL BROWN, et al., 05 Civ. 05442 (SAS) on behalf of themselves and all others simiJ.arly situated,

Plaintiffs,

-against- FINAL JUDGMENT

RA YMOND W. KELLY, et al.,

Defendants.

PAUL CASALE AND ANTHONY GARCIA, on behalf of themselves and all others similarly 08 Civ. 2173 (SAS) situated,

Plaintiffs,

-against-

RA YMOND W. KELLY, et al.,

Defendants.

HONORABLE SHIRA A. SCHEINDLIN UNITED STATES DISTRICT JUDGE

It is hereby ORDERED, ADJUDGED, and DECREED that for the reasons set forth in the Order signed by the Court on December 21, 2012 and entered December 26, 2012

(Ex. A), that:

The January 26, 2012 Stipulation of Settlement (Ex. B) is hereby approved;

The parties shall abide by all the terms of the Stipulation of Settlement and the

Court's December 21, 2012 Order;

The City ofNew York shall make all payments set forth in the December 21,

2012 Order in accordance with the terms set forth in that Order; Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 2 of 88

The Court retains jurisdiction over this action to enforce the terms of the

December 21, 2012 Order and the Stipulation of Settlement.

Dated: New York, New York January~, 2013

JUDGMENT ENTERED ______, 2013

2 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 3 of 88

Exhibit A Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13'_ ...... , ... PageJ \ .:.,. 4 of 88

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK

MICHAEL BROWN, et al., 05 Civ. 05442 (SAS) on behalf of themselves and all others similarly situated,

Plaintiffs,

-against- Order Approving the January 26, 2012 RAYMOND W. KELLY, et al., Stipulation of Settlement

Defendants.

PAUL CASALE AND ANTHONY GARCIA, on behalf ofthemselves and all others similarly situated, 08 eiv. 2173 (SAS) Plaintiffs,

-against-

RAYMOND W. KELLY, et al.,

HONORABLE SHIRA A. SCHEINDLfN UNITED STATES DISTRICT JUDGE

WHEREAS, the District Court preliminarily approved the Stipulation and Order of Settlement ("the Settlement") on February 7, 2012~

WHEREAS, on March 8,2012, the District Court approved the plan for notifying the Settlement Class, as well as the Claim Packet (which included, inter alia, a Class Notice and

Claim Form) and Summary Notices for posting;

WHEREAS, the Parties have fully briefed a motion in support of Final District

Court Approval of the Settkmcnt; Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 5 of 88

WHEREAS, the District Court found at the faIrness hearing on December 14,

2012 that the settlement was fair and adequate, and ordered final approval pursuant to Fed. R.

Civ. P. nee):

WHEREAS, the Settlement sets forth the agreement, terms and conditions for the

proposed settlement and dismissal of this action;

WHEREAS, the Settlement provides for, inter alia, monetary relief for members

of the classes ("Settlement Class Members" or "SCMs"), who are defined as: "as all individuals

who are listed in the Ne\\! York State Office ofCourt Administration's Criminal Records and

Information Management System (HCRIMS") or Summons Automation Management System

("SAMS") databases; or in the New York City Police Department's Booking Arraignment

Disposition System (HBADS") or in the Criminal Court Summons (HC-Summons") databases; or

in a Report derived from New York City Police Department databases identifying Attempts to

Charge ("Attempts to Charge Report"); or in summonses produced in discovery or in connection

with a Claim Form up to the Bar Date, as having been charged in the City ofNew York prior to

the Bar Date: (I) with a violation ofN.V. Penal Law § 240.35(1) after September 30, 1992; or

(2) with a violation ofN.V. Penal Law § 240.35(3) after February 23, 1983; or (3) with a

violation ofN.V. Penal Law § 240.35(7) after February 17, 1988.";

WHEREAS, the Settlement provides for the creation of a Class Fund in the amount of$15 Million ($15,000,000);

WHEREAS the Settlement provides for equitable relief, including a joint omnibus

New York State court proceeding to vacate, dismiss, and seal all cases charging the Statutes within New York City that have "qualifying dispositions" as defined in the Parties' and the

DAOs' letter agreement dated January 18,2012; assurance that all qualifying cases under the

2 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 6 of 88

Statutes are appropriately maintained in compliance with state sealing laws, including by

certifying the destruction of all related fingerprints and photographs; a joint fonnal written

request to OCA and the New York State Division of Criminal Justice Services CDCJS") to

create a pennanent notation of unconstitutionality attached to electronic records of all Loitering

Charge Incidents; and prevention policies for a period of two years from Final District Court

Approval;

WHEREAS, the Parties have agreed that $12 Million ($12,000,000) of that Class

Fund shall be paid to members of the Settlement Class who timely filed a signed valid Claim

Fonn, according to the Distribution Formula set forth in paragraph 52 of the Settlement and with appropriate deductions specified in paragraphs 56 and 69 of the Settlement, and the amount paid

to each valid claimant shall be called the Award Amount;

WHEREAS, the Parties agree and recommend that the Distribution Fommla as defined in paragraph 52 ofthe Settlement should be applied by the Administrator;

WHEREAS, the Parties have agreed that a total of$3 Million ($3,000,000 or

"Settlement Costs") of that Class Fund shall be paid to Class Counselor to the Administrator to make the following payments: (1) to Class Counsel, incentive payments of $25,000 each to the eight class representatives of the Settlement Class (Michael Brown, Michael Louis Brown,

Bobby Wells, Xavier Grant, Keith Anderson, Paul Casale, Anthony Garcia and Llewellyn Rudy) as defined in paragraph 75 of the Settlement ("Named Plaintiffs") (totaling $200,000), and payments to Class Counsel for its own past, present, and future fees and costs in the above­ captioned action; and (2) to the Administrator, all payments to administer the Settlement;

WHEREAS, the City previously paid the Administrator $239,993.55 in

Settlement Costs for administering the Settlement;

3 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 7 of 88

WHEREAS, the Parties agree that Class Counsel's reasonable attorneys' fees, costs and expenses shall be the $3 Million in Settlement Costs less amounts paid to the

Administrator and the Named Plaintiffs, in addition to the $560,800.53 previously paid for attorneys' fees, costs and expenses;

WHEREAS, the Administrator has averred that it sent a Claim Packet to each

Class Member on June 8, 2012 at the last known addressees) (with re-mailing of returned Claim

Packets), and Class Members were given until November 8,2012 to file a Claim FOlTI1;

WHEREAS, the submissions of the Parties indicate that one-page Spanish and one-page English Summary Notices were posted in places likely to be seen by Class Members in accordance with the Settlement;

WHEREAS, the Settlement was widely publicized on the radio, television, the internet, and in newspapers;

WHEREAS, the Settlement was negotiated with the assistance of fanner

Magistrate Judge Theodore J. Katz;

WHEREAS, the Parties agree that persons who submit late claims after the date of this Order but on or before January 8, 2013 will be given 30 days from January 8, 2013 to provide a "good cause" explanation for their late filing as set forth in paragraph 56 of the

Settlement;

WHEREAS, no objections to the Settlement or requests for exclusion from the

Settlement were received by the Court, the Parties or the Administrator;

WHEREAS, upon reading the papers submitted in support of the motion for Final

District Court Approval ofthe Settlement, and after hearing argument trom both Parties on

December 14, 2012:

4 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 8 of 88

~OW, it is HEREBY ORDERED that:

(a) The Settlement meets the requirements of Fed. R. Civ. P. 23(e) because it is

procedurally and substantively fair, reasonable, and adequate;

(b) The factors set f0l1h in City ofDetroit v. Grinnell Corp., 495 F.2d 448, 463

(2d eir. 1974) weigh in favor ofapproval of the Settlement;

(c) The $25,000 service awards to the eight Named Plaintiffs, totaling $200,000,

from the Settlement Costs are fair and reasonable given the time and effort

they expended assisting in the prosecution of this litigation;

(d) The agreed total amount of $3 Million in Settlement Costs for past and future

attorneys' fees, costs and expenses (in addition to $560,800.53 previously

paid), Administrator fees and costs, and Named Plaintiff awards ($200,000) is

approved as fair and reasonable;

(e) Notice to the Settlement Class was the best practicable notice under the

circumstances and complied with Fed. R. Civ. P. 23( c )(2);

(f) The Settlement is therefore finally approved;

(g) Pursuant to Paragraph 44 of the Settlement, the City is required to pay the

Administrator within 61 days of the date of this Order the amount of

$12,000,000, less deductions due to valid timely claimants' child support liens

(hereinafter the amount to be paid to the Administrator is cal1ed the

"Remainder"), and those amounts deducted tor child support liens shall be

sent to the beneficiary of the child support lien;

(h) Prior to the payment orthe Remainder to the Administrator, the City in

consultation with the Administrator, shall make its best good faith estimate of

5 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 9 of 88

the maximum amount that should be deducted due to child support liens, and

shall pay the Administrator $12,000,000 less that amount;

(i) If additional money is detennined to be owed to the City due to child support

liens due to a change in the A ward Amount, acceptance of late claims, or for

any other reason, the Administrator shall return that amount to the City;

U) Ifless money is deternlined to be owed due for child SUpp0I1 liens due to a

change in the Award Amount, or for any other reason, the City shall pay the

Administrator that additional money and that amount shall be added to the

Remainder;

(k) Pursuant to Paragraph 56 ofthe Settlement, the Administrator shall place

$100,000 of the Remainder in reserve to pay late claims filed after the date of

the Order but on or before January 8, 2013 for "good cause" shown;

(l) The Administrator shall distribute the Remainder to timely valid claimants in

accordance with the tenns of the Settlement;

(m)Within 61 days of the date of this Order, the City shall pay Class Counsel

$2,760,006.45;

(n) From this $2,760,006.45, Class Counsel shall pay: (1) the eight Named

Plaintiffs $25,000 each, for a total of $200,000; and (2) themselves the

remaining amount for attorneys' fees, costs and expenses.

(0) All checks mailed to Class Members shall bear the notation, "CASH

PROMPTLY, VOID AND WILL NOT BE RE-ISSUED 120 DAYS AFTER

DA TE OF ISSUANCE":

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(p) Claims postmarked after the date of this Order shall be denied as late and shall

not be paid as part of the initial distribution from the Class Fund. Persons

who submit late claims postmarked after the date of this Order but on or

before January 8, 2013 will be given 30 days to provide a "good cause"

explanation for their late filing. Class Counsel shall determine if the person

had "good cause" to file a latc claim, and persons shall have the right to

appeal any such determination to the Magistrate Judge. All persons with good

cause for filing a late claim after the date of this Order but on or before

January 8, 2013 shall be paid a pro-rata share up to the Award Amount - of

the amount remaining in the Remainder due to the failure of claimants to

timely cash their checks within 120 days of issuance, as well as from the

$100,000 held in reserve to pay late claims, except that Class Counsel, upon

notice to the Court, may decide to reserve some portion of the remaining

funds to pay persons who failed to cash their checks within 120 days;

(q) All late claims that are approved as showing "good cause" will also be subject

to the deduction of any valid child support liens:

(r) Claims postmarked after January 8, 2013 shall be denied and shaH not be

considered; and

(s) Ifmoney remains in the Remainder, or in the $100,000 reserve after the

payment oflate claims filed after the date of this Order but on or before

JanualY 8, 2013 for "good cause," or because of uncashed checks issued to

claimants, and as set forth in paragraph 55 of the Settlement, Class CounseL

on written notice to the City and the Court, shall have the discretion to (a)

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reissue the checks, or (b) add the amount of the voided checks back to the

Class Fund to be divided pro rata amongst eligible SCMs, or (c) issue checks

to persons who make late claims for good cause shown pursuant to the

immediately following paragraph, or (d) seek an award by the Court

consistent with cy pres principles.

Dated: New York, Ne\v York December 21, 2012

8 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 12 of 88

Exhibit B Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 13 of 88

U::-JITED SlATES DISTRICT COURT SOUTHER::-J DISTRICT OF NEW YORK ------x MICHAEL BROW~, et al., on behalf of themselves and all others similarly situated,

Plaintiffs, 05 Civ. 05442 (SAS)(THK)

-against- USDCSDNY RAYMOND W. KELL Y, el 01., DOCUMENT I r;r\ ,I ""'1rt. _t:.L1 I· ELECfnON 1CAtLY I. De fendants. ------x PAUL CASALE and ANTHONY GARCIA, on behalf of themselves and all others similarly situated,

Plaintiffs, 08 Civ. 2173 (SAS)(THK)

-against-

RAYMOND W. KELLY, et a1.,

Defendants. ------x

STIPULATION AND ORDER OF SETTLEMENT

This Stipulation and Order is made and entered into on tbis 26th day of January 2012

between the City of New 'ITork (hereinafter "the City"), New York City Police Department

Commissioner Raymond Kelly and Bronx District Attorney Robert Johnson, ("collectively

"Detendants"), and Plaintiffs (hereinafter "Plaintiffs") Michael Brown, Keith Anderson, Michael

Louis Brown, Xavier J. Grant, Llewellyn Rudy, Bobby Wells, Paul Casale, and Anthony Garcia, on behalf of themselves and all others similarly situated (collectively the "Parties"), and is made and entered into with reJer

WHEREAS, on June 9, 2005, in an action now entitled Brown v. Kell)l, 05 Civ. Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 14 of 88

5442 (SAS) ("JJrown ") and pending before the Honorable Shira A. Scheindlin, a plaintitl flled

a putative class action lawsuit alleging that the City of New York, operating inter alia through

the New York City Police Department ("NYPD") and the District Attorneys' Offices

("DADs"), continued to charge thousands of individuals for violations of N. Y. Penal Law §

240.35( I), although that the statute had been declared unconstitutional on First Amendment

grounds in 1992. See Loper v. New York City Police Dep't, 999 F.2d 699, 701 (2d Cir. 1993);

WHEREAS, on March 4, 2008, in an action entitled Casale v. Kelly, 08 Civ.

2173 (SAS) ("Casale"), and pending before the Honorable Shira A. Scheindlin, a group of

plaintiffs filed a putative class action lawsuit alleging that the City of New York, operating

inler alia through the NYPD and DAOs, continued to charge thousands of individuals for

violations of N.Y. Penal Law § 240.35(3) and N.Y. Penal Law § 240.35(7), although the

statutes were declared unconstitutional in 1983 and 1988, respectively. See People v.

Uplinger, 460 N.Y.S.2d 514 (1983); see also People v. Bright, 526 N.Y.S.2d 66 (1988);

WHEREAS, in Brown, a class was certified pursuant to Fed. R. Civ. P. 23(b)(3)

consisting of all persons who have becn or will be arrested, charged or prosecuted by employees, agents or representatives of New York City for violating N.Y. Penal Law §

240.35(1) from October 7, 1992 onward, and af1irmed by Order of the United States Court of

Appeals for the Second Circuit (see Brown v. Kel~v, 609 FJd 467, 473 (2d Cir. 2010»;

WHEREAS, in Casale, a class was certified pursuant to Fed. R. eiv. P.

23(b)(2) consisting of aU persons who have been or will be arrested, charged, or prosecuted for a violation of N.Y. Penal Law §§ 240.35(3) or 240.35(7) in New Yor~ City after these statutes were declared unconstitutional and a class was certified pursuant to Fed. R. Civ. P. 23(b)(3) consisting or all persons who have been arrested, charged, or prosecLlted for a violation of Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 15 of 88

either N.Y. Penal Law §§ 240.35(3) or 240.35(7) in New York City within the applicable

statute of limitations. Subclasses were certified to address potential defenses applicable only

to plaintiffs who were never prosecllted and to those charged with additional criminal offenses

at the time they were charged with a violation of N. Y. Penal Law §§240.35(3) or 240.35(7)

(see Casale v. Kelly, 257 F.R.D. 396 (S.D.N.Y. 2009));

WHEREAS, by Opinion and Order dated April 26, 2010, over the objection of defendants, the District Court adjudged uefendant the City of New York to be in contempt of court based on the fact that City of New York Jaw enforcement officers charged individllals with violations of N.Y. Penal Law § 240.35(1), N.Y. Penal Law § 240.35(3), and N.Y. Penal

Law § 240.35(7) after the filing of the above-captioned Brown and Casale actions;

WHEREAS, on or about August 3, 2010, by Order of the United States Court of

Appeals for the Second Circuit in the matter of Brmt'n v. Kelly, the District Court's certifications pursuant to Fed. R. Civ. P. 23(b)(2) of a state-wide plaintiff class and a defendant class were vacated (sec Brown v. Kelly, 609 F.3d 467, 482 (2d Cir. 2010»;

WHEREAS, N. Y. Penal Law §§ 240.35(1), (3), and (7) were repeaJed by the

New York State legislature on July 30, 2010 (2010 N.Y. Laws Ch. 232);

WHEREAS, defendants deny any and allliability and maintain that they have not had at allY time and do not have now a policy, practice or custom to enforce N.Y. Penal

Law §§ 240.35(1), (3), and/or (7) since the statutes \vere respectively declared unconstitutional;

WHEREAS, the Parties, seeking to avoid additional protracted, expensive, and unnecessary litigation, agree to the entry of this Stipulation and Order of Settlement

(hereinafter "Stipulation") to resolve all issues that were raised in these class actions by the

J Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 16 of 88

Plaintiffs individually or as class rtpresentatives;

NOW, THEREFORE, with the agreement of all Parties, it is hereby ORDERED,

ADJUDGED AND DECREED as follows:

INTRODUCTION

A. The parties enter into this Stipulation for the purpose of avoiding the burdens of

further litigation, and mutually to support vigorous, lawful, and nondiscriminatory enforcement

of the law. Settlement of this action under the terms stated in this Stipulation is in the public

interest because the Stipulation avoids diversion of private and City resources to further

adversarial action by the parties.

B. Plaintiffs enter into this Stipulation for the purpose of addressing the allegations

in the Complaints filed in the Brown and Casale actions. Plaintiffs and Class Counsel believe

the terms of this Stipulation are in the public interest because they believe they are designed to

prevent future unconstitutional enforcement of1\.Y. Penal Law §§ 240.35(1), (3) and (7) in the

City of New York.

e. Defendants deny any and all liability and deny that they had or currently have a

policy or engaged in or currently engage in a pattern or practice of conduct that deprived persons of rights, privileges, or immunities secured or protected by the Constitution and la\vs of the

United States.

D. This Stipulation does not and shall not be deemed to constitute any admission by defendants as to the validity or accuracy of any of the allegations, assertions, or claims made by plaintiffs. No dete/ruinations have been issued by the COlIrt concerning the merit or lack of merit of the allegations made by plaintiffs in their pleadings. This Stipulation docs not constitute an admission, adjudication, or finding on the merits of the above-captioned action.

4 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 17 of 88

E. This Court has jurisdiction over this action under 28 U.S.c, §§ 133] and 1343.

Venuc is proper in the United States District Court for the Southern District of New York

pursuant to 28 U.S.C. § 1391.

DEFINITIONS

1. The "Settlement Class" is defined as all individuals who are listed in the New

York Statc Office of Court Administration's Criminal Records and Information Management

System ("CRIMS") or Summons Automation Management System ("SA~lS") databases; or in

the New York City Police Department's Booking Arraignment Disposition System ("BADS") or

in the Criminal Court Summons ("C-Summons") databases; or in a Report derived from New

York City Police Department databases identifying Attempts to Charge ("Attempts to Charge

Report"); or in sllmmonses produced in discovery or in connection with a Claim Form lip to the

Bar Date, as having been charged in the City of New York prior to the Bar Date: (l) with a

violation of N.Y. Penal Law § 240.35(1) after September 30, 1992; or (2) with a violation of

N.Y. Penal Law § 240.35(3) after February 23,1983; or (3) with a violation ofN.V. Penal Law §

1 240.35(7) after February 17, J988.

2. "Subsection One Group" means all persons in the Settlement Class who were charged w·jth a violation of N.Y. Penal Law § 240.35(1) on or after September 30, 1992 and before the Bar Dute.

3. "Subsection One Recent Group" means all persons in the Subsection One Group who were charged with a violation of N.V. Penal Law § 240.35(1) on or aBer June 9, 2002 or whose criminal case arising [rom such a charge on or before June 8, 2002 was favorably

I The Settlement Class does not include claims of fonner plaintiff Eddie Wise extinguished by the judgment entered against the City of Nt:w York on December 5, 2006. The Settlement Class does not include individuals who are only listed in the databases with a charge under the Statutes due to a clerical data entry error, as proven by documentary evidence.

5 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 18 of 88

terminated within the meaning ofN. Y.c.P,L. § 160.50 on or after June 9. 2002 and before the Bar

Date.

4. "Subsection One Older Group" mCflns all persons in the Subsection One Group

who were charged with a violation of N.Y. Penal Law § 240.35(1) on or before June 8, 2002 and

(i) whose criminal ease arising from such a charge was disposed of in any way on or before June

8, 2002; or (ii) whose criminal case was not favorably terminated within the meaning of

N. Y.c.P.L. § ] 60.50 on or after June 9, 2002; or (iii) whose criminal case was favorably

tem1inated within the meaning ofN,y'C.P.L. § 160.50 on or after the Bar Date,

S. "Subsection Three Group" means all persons in the Settlement Class who were

charged with a violation of N.Y. Penal Law § 240.35(3) on or after February 23, 1983 and before

the Bar Date.

6. "Subsection Three Recent Group" means all persons in the Subsection Three

Group who were charged with a violation of N. Y. Penal Law § 240.35(3) on or after March 4,

2005 or whose criminal case arising from such a charge on or before March 3, 2005 was favorably terminated within the meaning ofN.Y,C.P.L. § 160.50 on or after March 4, 2005 and before the Bar DJte.

7. "Subsection Three Older Group" means all persons in the Subsection Three

Group who were charged with a violation of:-l.Y. Penal Law § 240.35(3) on or before March 3,

2005 and (i) whose crimina] case arising from such a charge was disposed of in any way on or before March 3, 2005; or (ii) whose criminal case was not favorably terminated within the meaning of N. Y.c.P.L. § 160.50 on or after March 4. 2005; or (iii) whose criminal case was favombly terminated within the meaning ofN.Y.CP.L. § 160.50 on or after the Bar Date.

6 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 19 of 88

8. "Subsection Seven Group" means all persons in the Settlement Class who were

charged with a violation of N.Y. Penal Lnv § 240.35(7) on or arrer February 17, 1988 and before

the Bar Date.

9. "Subsection Seven Recent Group" means all persons in the Subsection Seven

Group who were charged with a violation of ::.I.Y. Penal Law § 240.35(7) on or after March 4,

2005 or whose criminal case arising from such a charge on or before March 3, 2005 was

favorably terminated within the meaning ofN.Y.C.P.L. 160.50 on or after March 4, 2005 and

before the Bar Date.

10. "Subsection Seven Older Group" means all persons in the Subsection Seven

Group who were charged with a violation of N. Y. Penal Law § 240.35(7) on or before March 3,

2005 and (i) whose criminal case arising from such a charge was disposed of in any way on or before March 3, 2005; or (ii) whose criminal case was not favorably terminated within the meaning of N,Y.C.P.L. § 160.50 on or after March 4, 2005; or (iii) whose criminal case was favorably tenninated within the meaning of N. Y.c.P. L. § 160.50 on or after the Bar Date.

11. "Favorably tenllinated" means any criminal action or proceeding relating to a

Loitering Charge Incident that is terminated as defined in N.Y.C.P.L. § 160.50(3).

12. "Final Class List" means all of the persons in the Settlement Class, as determined

by the Administrator after the Administrator performs an analysis to ensure that persons are not

listed twice or incorrectly included. All individuals on the Final Class List will be given notice

of this Stipulation.

13. "Named Plaintiff"," means Michael Bro'vV11, Keith Anderson, Michael Louis I1rovm,

Xavier J. Grant, Llewellyn Rudy, Bobby Wells, Paul Casale, and Anthony Garcia. These persons

7 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 20 of 88

represent alJ or part of the Settlement Class.

14. "Class Counsel"' means Emery Celli Brinckerhoff & Abady LLP and The Bronx

Delenders.

15. 1\ "Settlement Class M~mber" ("SCM") means any member of the Settlement

Class who does not file a valid and timely Request for Exclusion as provided in paragraph 73 of

this Stipulation.

16. An "Opt-Out" is any potential SO'll who files a timely Request for Exclusion as

specified in paragraph 73.

17. "Date of Class l\otice" is the date when the Administrator first mails out the

Claim Packets to the persons on the Final Class List, which must occur within ninety (90) days

of Prel iminary District Court Approval.

18. The "Bar Date" is the date established by the Court by which any SCM who

wishes to receive payments pursuant to the Stipulation must tile his/her Claim Form{s). The

Parties agree that this date should be 120 days from the Date of Class Notice.

19. The "Claim Form" is a document, in a form approved by the Court, that SCMs

must complete and sign in order to be considered for payment pursuant to this Stipulation.

20. i\ "Claim Packet" means a "Claim Form," together with a notice in a form

approved by the Court. The Claim Packet will be mailed by the Administrator to all persons on

the final Class List.

21. "Summary Notices" means a one-page English and a one-page Spanish summary of this Stipulation in a form approved by [he Court.

22. "Administrator" means the person or organization designated by Class Counsel

8 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 21 of 88

and appointed by the Coun to administer the Class Fund, disseminate the Claim Packets, and review and determine the validitv, and amount of claims submitted by SCMs, according to the procedures set forth herein. Defendants shall be permitted 10 make non-binding suggestions to

Class Counsel regarding the sel cction of the designated Administrator.

23. "Class fund" means the amount to be paid by the City for all claims of SCMs, service awards 10 Named Plaintiffs, administrative costs, and attorneys' fees and costs. That amount shall be $15 Million Dollars.

24. "Settlement Costs" means a portion of the Class Fund to be detemlined prior to a fairness hearing on this Stipulation, which shall be paid directly to Class Counsel. From this amount, Class Counsel shall pay service awards to Named Plaintiffs, Administrator's costs, and

Class Counsel's own past, present and future fees and costs. This amount does not include the attorneys' fees and costs previously paid to Class Counsel.

25. The "Remainder" means that majority portion of the Class Fund that shall be sent to the Administrator to pay SCMs' claims. That amount shall be $15 Million Dollars minus the amount approved by the Court for Settlement Costs and the amount retained by the City of New

York for transmittal to the Office of Child Support Enforcement for distribution to the beneficiaries ofthe Child Support Liens as referenced in paragraph 53(c).

26. "Class Settlement fund Account" ("CSFA") means a bank account or accounts to be established by the Administrator for the benetlt of the Settlement Class. The CSFA shall be interest bearing if the costs associated with making it interest bearing (such as tux preparation and bank fees) and secured arc less than the likely interest earned. If the CSFA is an interest bearing account, any amount remaining after the costs described in this paragraph will be subject to the conditions of paragraph 83 herein.

9 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 22 of 88

27. "Prdiminary District Court Approval" means the date, following the submission of

this Stipulation, executed, to the District Court by the Parties, but prior to a fairness hearing on

this StipUlation, on which the District Court grants preliminary approval of the StipUlation.

28. "Final District Court Approval" means the date, following the submission of this

StipUlation, executed, to the District COUlt by the Purties, and ufter a fairness hearing on this

StipUlation, on which the District Court grants final approval of this StipUlation.

29. The "Effective Date for Payment" (or "Effective Date") is the date when the City's

obligation to pay the Class Fund of $15 ~1ill ion Dollars (minus sums advanced for costs of notice

pursuant to paragraph 43) becomes efTective. It is one duy following entry of the Final District

Court Approval of the Stipulation by an Order from the District Court.

30. The "Funding Date" is the date sixty (60) days after the Effective Date for

Payment and is the date by which the City agrees to comply with the obligations stated at

paragraph 44 herein, provided no appeals are pending.

3). An "Approved Claim" means a claim form received, reviewed and verified by the

Administrator.

32. '[lle "Distribution Fonnula" means the process by which each Approved Claim

will be awarded points after review and after such verification as the Administrator deems

appropriate of the information provided on the Cluim Form.

33. "The Statutes" shall mean N.Y. Penal Law § 240.35(1), N.Y. Penal Law §

240.35(3), and N.Y. Penal Law § 240.35(7).

34. "Arrested" means that an SCM appears in the New York Stat~ Office of Court

l\dministration's Criminal Records and Information Management System ("CRI,\:1S") or the

10 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 23 of 88

New York City Police Department's Booking Arraignment Disposition System CI1ADS")or in a

New York City Police Department's Attempts to Charge Report, as having been charged under

the Statutes. 2

35. "Released Parties" means any and all of the Defendants, namely the City,

Raymond W. Kelly, and Robert Johnson as well as their past, present, or future affiliates,

subsidiaries, parents, successors and predecessors, officers, directors, agents, agencies,

employees, attomeys, advisors, insurers and any person, firm, tnlst, corporation, officer, director

or other individual or entity in which any Defendant has a controlling interest or which is related

to or affiliated with any Defendant, and the legal representatives, heirs, predecessors in interest,

successors in interest or assigns of the Defendants. Released parties shall also include the

Offices of the District Attomeys within the City of New York, namely the Counties of Kings,

Queens, Richmond, Bronx and New York, (the "OA Offices"), as well as its past, present, or

future affiliates, subsidiaries, parents, successors and predecessors, officers, directors, agents,

agencies, employees, attorneys, advisors, insurers and any person, firm, trust, corporation,

officer, director or other individual or entity in which any DA Office has a controlling interest or

which is related to or affiliated with any DA Office, and the legal representatives, heirs,

predecessors in interest, Sllccessors in interest or assigns of the OA Oflices.3

36. "Sel1lcd Class Claims" mean any and all claims, debts, demands, rights, or causes of action or liabilities whatsoever (including, but not limited to, any claims for damages, interest,

"for purposes of this Stipulation, "charge" or "charged" includes any attempt to charge the Statutes recorded in the New York City Police Department's databases, as retlected in an Attempts to Chmge Report. J Thl! Office of the District Attorney for Bronx County is it named party represented by the New York City Law Department, Office of the Corporation Counsel ("Corporation Counsel"). The Corporation Counsel has also represented the District Attorney Offices of the Counties of New York, Kings, Queens and Richmond to the extent that they have participated in this Stipulation of Settlement, that they have agreed to the terms described in the Lerter Agreement annexed hereto as Exhibit A and to the extent that they have otherwise participated, whether or not as defendants, in the Casale and Brown litigations.

1 I Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 24 of 88

attorneys' iCes, administratiun fees, expert or consulting fees, and any other costs, expenses, or

liabilities whatsoever), whether based on federal, state, local, statutory, or common law or any other law, nile, or regulation, whether fixed or contingent, accI11ed or un-accnlcd, liquidated or

un-liquidated, at law or in equity, matured or un-matured, whether class or individual in nature, that arise out of charges in the City of New York prior to the Bar Date: (1) for a violation of N.Y.

Penal La\', § 240.35( I) after September 30, 1992; (2) for a violation of N. Y. Penal Law §

240.35(3) after February 23, 1983; and/or (3) for a violation of N. Y. Penal Law § 240.35(7) after

February 17, 1988.

37. "Settled Named Plaintiff Claims" mean any and all claims, debts, demands, rights, or causes of action or liabilities whatsoever (including, but not limited to, any claims for damages, interest, attorneys' fees, administration fees, expert or consulting fees, and any other costs, expenses, or liabilities whatsoever), whether based on federal, state, local, statutory, or common law or any other law, rule, or regulation, whether fixed or contingent, accrued or un­ accrued, liquidated or un-liquidated, at law or in equity, matured or un-matured, whether class or individual in nature, that have been asserted in this action by the Settlement Class ancVor Named

Plaintiffs against any of the Released Parties.

38. "Loitering Charge Incident" means any arrest, summons, prosecution or other charging incident or criminal proceeding charging a person within the five boroughs of New

York City at any time up to two years from the Effective Date: (I) with a violation ofN.V. Penal

Law § 240.35(1) after September 30, 1992; (2) with a violation of N. Y. Penal Law § 240.35(3) after February 23, 1983; or (3) with a violation of N.Y. Penal Law § 240.35(7) after February 17,

1988.

39. "Sealed Loitering Charge Incident" means any Loitering Charge Incident

12 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 25 of 88

terminated in favor of the accused person as defined by N. Y. Crim. Proc. L. § 160.50(3) or in a

conviction for a non-criminal offense as defined by N.Y. Crim. Proc. L. § 160.55(1).

FUND1~G AND RESOl,UTION 01.1' SETTLEMENT COSTS

40. Subject to the tenns and conditions of this Stipulation, the City agrees to pay

Fifteen Million Dollars ($15,000,000.00) as the Class fund, which shall be used to pay atl claims

of SCMs and the Settlement Costs. The Class Fund docs not include the $560,800,53 in

attorneys' fees and costs previously paid to Class Counsel.

41. Wbile the parties have agreed to a Class Fund of $15 Million Dollars, the parties

have not agreed on the amount to be subtracted from the Class Fund to pay the Settlement Costs.

CJass Counsel will not seek more than $3.5 yfillion Dollars to pay the Settlement Costs.

Defendants reserve all rights to assess, analyze and object to the amount of Settlement Costs upon

defendants' receipt of all infonnation that they deem relevant to the final detennination of the

Settlement Costs, including billing records that they believe are necessary to assess the

reasonableness of Class Counsel's past attorneys' fees. Apart from past attorneys' fees, the parties

also have not agreed, as of the signing of this Stipulation, on the amount of Class Cmillsel's future

attorneys' fees, the amount of the Administrator's fee, and on the amount or means of calculating

Class Counsel's total fee recovery, but the parties will endeavor to resolve these issues in good

faith prior to the fairness hearing,

42. In the event that the parties do not agree upon the amount of the Settlement Costs to

be subtracted from the Class Fund prior to the fairness hearing, the parties agree to submit their

dispute to the Court for resolution on or before the fairness hearing.

43. Within thirty (30) days after Preliminary District Court Approval, the City shall cause to be deposited into a bank account designated by the Administrator an amount equal to

13 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 26 of 88

the amount approved by the District Court for payment to the Class Administrator to cover the costs of notice agreed to by the Parties and/or ordered by the Court, and \\fill provide additional funds to the Administrator as approved by the Court, except that the total of said funds shall not exceed Four Htmdred Thousand Dollars ($400,000). Any such payment shall be debited against the Settlement Costs. If the Stipulation is not ultimately approved by the Court, then all such funds paid to the Administrator, to the extent Lhey are available after payment of all accrued class administration expenses, shall be returned to the City. The Administrator will submit monthly bills to the Parties and may pay itself from these funds in accordance with its bill if the Parties do not object to the bill within thirty (30) days of receipt of the monthly bilL

44. Subject to the terms and conditions of this Stipulation and the approval of the

Court, on or before the Funding Date, the City shall cause to be deposited into the Class

Settlement Fund Account C"CSF A") the Remainder. On or before the Funding Date, the City shall cause to be deposited to the trust account of Class Counsel the Settlement Costs less the amount already advanced under the tenns of the immediately preceding paragraph.

a. Prior to the payment of the Remainder to the Administrator, the City in

consultation with the Administrator, shall make its best good faith

estimate of the maximum amount that should be deducted due to Child

Support Liens, and shall pay the Administrator $15 Million less the

Settlement Costs and less the amount retained by the City of New York

for transmittal to the OlIice of Child Support Enforcement for distribution

to the beneficiaries of the Child Support Liens as referenced in paragraph

53c;

14 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 27 of 88

b. If additional money is determined to be owed to the City due to Child

Support Liens due to a change in the Award Amount, acceptance of late

claims, or for any other reason, the Administrator shall return that amount

to the City;

c. If less money is determined to be owed due for Child Support Liens due to

a change in the Award Amollnt (or for any other reason) the City shall pay

the Administrator that additional money and that amount shall be added to

the Remainder.

45. Should the settlement not he linally approved after exhaustion of all appellate avenues, the City shall have no claims against the Named Plaintiffs, the Settlement Class, Class

Counsel, or the Administrator for reimbursement of funds advanced to the Administrator for notice, except that any advanced funds shnll be credited towards any subsequent settlement in this action.

46. The City will join Class Counsel in seeking the Court's approval of the

StipUlation, exclusive of the Settlement Costs as set forth in paragraphs 41 and 42 above.

47. No payment shall be made to eligible SCl''''1s before the Funding Date. Claims will be processed to determine eligibility for payment by the Effective Date for Payment. Upon the Funding Date, claims determined to be eligible for payment may be paid.

48. No additional payments shall be paid to Class Counsel for fees and eosts before the Funding Date. Aftcr the City caus~s the Settlement Costs 10 be deposited, as set forth in paragraph 44, Class Counsel may immediately withdraw money from the Settlement Costs to pay its 0\\11 fces and costs before a final accounting, as long as sufticient money is reserved to pay the Administrator's costs, and service awards to Named Plaintiffs. If the Administrator's

15 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 28 of 88

final bill is less than the amollnt previously advanced, the Administrator shall refund to Class

Counsel the remainder. A copy of the Administrator's final accounting, as well as monthly bills,

shall be provided to the City.

PAYMENTS TO THE SETTLE.MENT CLASS

49. The amollnt awarded to SCMs who submit Claim Forms shall be calculated as

follows. First, the amount paid to the Administrator for costs; to Class Counsel for anorneys'

fees and costs; and to Named Plaintiffs for service awards (collectively "Settlement Costs") shall

be subtracted from the Class Fund.

50. In an effort to promote both efficiency and fairness, the Administrator will award

each Approved Claim points after review and after such verification as the Administrator deems appropriate of the information provided Oll the Claim Form ("the Distribution Formula"). The details of the Distribution Fonnula to be applied are subject to Court approval on recommendation by Class Counsel after Claim Forms are received. The Distribution Formula shall be applied unifom1iy, will not be discretionary after approval, and may be amended only by

Court Order.

51. The total points awarded to each Approved Claim pursuant to the Distribution

Fonnula will be aggregated and each SCiv1's share of the total points will be determined. The

SCM shall then be allocated a commensurate proportion of the Class Fund minus the Settlement

Costs based on the number of points awarded to the SC.r.-1. The resulting amount of payment to the SCM for an Approved Claim based on application of the Distribution FOm1ula shall be the

"Award Amollnt."

52. The Distribution Formula shall be as follows:

16 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 29 of 88

(1, Pool One will be comprised of all SeMs from the Subsection One Recent Group,

the Subsection Three Recent Group or the Subsection Seven Recent Group who

submit an Approved Claim and who either (1) were arrested and charged with a

violation of the Statutes; or (2) were issued a summons (the court records of

which include an arrest or bench warfant recorded in CRIMS or SAMS) charging

a violation of the Statutes. Every SCIV! in Pool One will receive 12 points.

b. Pool Two will be comprised of all SCMs from the Subsection One Recent Group,

the Subsection Three Recent Group or the Subsection Seven Recent Group who

submit an Approved Claim, and who were issued a summons (the court records of

which do not include an arrest Of bench warrant recorded in CRIMS or SAMS)

charging a violation of the Statutes. Every SCM in Pool Two will receive 4

points.

c. Pool Three wil! be comprised of all SCMs from the Subsection One Older Group,

the Subsection Three Older Group or the Suhsection Seven Older Group who

submit an Approved Claim and who either (l) were arrested and charged with a

violation of the Statutes; or (2) \vere issued a summons (the court records of

which include an arrest or hench warrant recorded in CR1MS or SAMS) charging

a violation of the Statutes. Every SCM in Pool Three will receive 2 points.

d. Pool Four will be comprised of all SCMs from the Subsection One Older Group>

the Subsection Three Older Group or the Subsection Seven Older Group who

submit an Approved Claim and who were issued a summons (the court records of

which do not include an arrest or bench warrant recorded in CRIMS or SAMS)

17 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 30 of 88

charging a violation of the Statutes. Every SCM in Pool Four will receive 1 point.

53. SCMs who timely file :3 completed and signed Claim Form and who are eligible for an award shall each be entitled to receive an Award Amount from the Class Fund in compensation for their claims, subject to the following provisions:

a. Each SCM shall receive an !\ward !\mount for only one incident of enforcement

for which the SOv! was charged \vith a violation of the Statutes, notwithstanding

the fact that an SCM m,ty have been charged wi th a violation of the Stalutes on

more than one occasion. For those SCvtS who were charged with a violation of

the Statutes on more than one occasion, that SCM shall be compensated for the

singJe incident of enforcement of the Statutes against him or her that is eligible to

receive the highest number of points under the Distribution Formula.

b. In addition to the Award Amount, the Named Plaintiffs in this action shall receive

additional service awards as set forth in paragraph 75 below. The additional

amounts referred to in this sub-paragraph shall be paid from the Settlement Costs.

c. If an SCM who submitted a Claim FornI has a 0Jew York City Child Support Lien

for arrears (hereinafter "Child Support Lien"), the Award Amount shall be

deducted to satisfy the Child Support Lien, pursuant to the provisions in

paragraph 69. The amount paid by the Administrator to these SCMs will be their

share of the Class Fund minus the Settlement Costs, minus the amount of any

Child Support Lien. The City of New York shall retain the aggregate amount of

the Child Support Liens for transmittal to the Office of Child Support

Enforccmenl for distribution to the beneficiaries of the Child Support Liens.

54. Based on good faith calculations made by the Parties, the parties believe that as of

18 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 31 of 88

January 26, 2012, the Settlement Class contains SCMs who were subjected to approximately

22,800 incidents where the Statutes were charged.

55. Class Counsel has the discretion to void checks mailed to SCMs and not cashed within 120 days of issuance, Notice of this procedure will be provided at the time the checks are issued. Class Counsel, on written notice to the City and the Court, shall have the discretion to (a) reissue the checks, or (b) add the amount of the voided checks back to the Class Fund to be divided pro rata amongst eligible SCMs, or (c) issue checks to persons who make late claims for good cause shown pursuant to the immediately following paragraph, or (d) seek an award by the

Court consistent with cy pres principles.

56. The Administrator shall place $100,000 of the Remainder in reserve to pay late claims filed for "good cause" shown. Persons who submit late claims wiJ] be given 30 days from a date to be determined by the Court at the fairness hearing to provide a "good cause" explanation for their late filing. Class Counscl shall determine if the person had "good cause" to tile a late claim, and persons shall have the right to appeal any such determination to the

Magistrate Judge. All pcrsons with good calise for filing a latc claim shall be paid a pro-rata share under the Distribution Formula - up to their Award Amount - of the amount remaining in the Class Fund due to the failure of cJaimants to timely cash their cheeks within 120 days of issuance, as well as from the SIOO,OOO held in reserve to pay late claims, except that Class

Counsel, upon notice to the Court, may decide to reserve some portion of the remaining funds to pay persons who failed to cash their checks within 120 days for "good cause" shown. All late claims that are approved as showing "good ~ause" will also be subject to the deduction of any valid Child Slipport Liens. If money remains in the Remainder (including the $} 00,000 reserve after the payment of late claims filed for "good cause," and the rcissuancc of uncashed checks

19 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 32 of 88

for "good cause"), the parties shall confer and seek an order from the Court as to how to

distribute same consistent with cy pres principles.

57. The Administrator is permitted for good cause shown (including proper

documentation and proof of authority) to issue checks in the name of a person other than the

SCM.

ADMINISTRATOR

58. The Administrator's duties shall include administering the Class Fund, including

but not limited to the following matters: (l) issuing notice, including information about the right

to object or opt out of the settlement; (2) locating class members; (3) distributing Claim Packets to

and receiving exeeuted original Claim Forms of same from those on the Final Class List; (4)

establishing and administering the Class Fund and upon conclusion of the process, closing the

Fund; (5) paying all income taxes, if any, owed by the Class Fund; (6) determining eligibility for awards on the basis of information provided by counsel for the Parties and the SCMs, validating the claims, and providing the Parties a list of those persons found preliminarily eligible every 30 days; (7) calculating the amounts of awards; (8) issuing and mailing checks to eligible SCMs, and issuing and filing all required tax forms and statements; (9) developing procedures and responding to inquires from SCMs and Opt-Outs about this Stipulation and the procedures contained herein, including by the use of a toll-free number; (10) creating a database of SCMs who have filed timely and valid Claim Forms; (11) establishing a toll-free number and toll number (for incarcerated SCMs), \vhich will be included in the Claim Packet and on the

Summary Notices; (12) creating a database of Opt-Outs; and (13) providing the Parties with monthly bills and a final accounting.

20 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 33 of 88

59. The City agrees to Lqcilitatc the work of the Administrator by, among other

things, obtaining and providing to the Administrator, information, data: documents, and records

in the City's possession, which is relevant and uppropriatc to facilitate the administration of the

Class Fund, to the extent such information is disclosable to the Administrator under federal, state and/or local laws.

60. Within fifteen (15) days of the Preliminary District Court Approval, Class

Counsel will provide the City and the Administrator with an Excel spread sheet containing the full names of all the SCMs and any and all identifiers available to Class Counsel, which may include Social Security Number, date of birth, NYSID number, arrest number, arrest date and summons date. Upon receipt, the City shall check certain databClses to which it has access, including DOC records of more recent admissions, the New York City Department of Probation records, Human Resource Administration records, and Department of Homeless Services records, for updated address information. The City shall also check DOC and NYPD databases in order to locate social security numbers of SC~vls. Where necessary andlor appropriate, the

Parties shall cooperatively seek appropriate court orders to obtain the addresses of SCMs. The

City's obligation regarding the information listed in this paragraph only extends to the extent

SCMs provided accurate and complete information. Within sixty (60) days of the Preliminary

District Court Approval, the City will provide the Administrator and Class Counsel with an

Excel spread sheet containing any additional identifying information about the SCMs located through its database search including where available, date of birth, NYS]D number, driver's license, social security number (from DOC and NYPD databases only), and last-known address,

On behalf of Plaintiffs, Class Counsel reserves the right to seek orders from the Court directing defendants to provide additional identifying information as necessary in order to efTectuate

21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 34 of 88

notice to the class. In addition. at lenst sixty (60) days prior to tht> Bar Date, the City agrees to

join Plaintiffs in making a formal written request to OCA to provide the Parties with one final

update of all data in OCA's custody relating to the Statutes.

61. To the extent that the Administrator and/or Class Counsel receive inquiries that

they cannot resolve, the Administrator and/or Class Counse 1 shall group such inquires and

submit them in writing to a designated person at the Office of Corporation Counsel on a

recurring basis, but not more often than a weekly basis. Results of the investigations will be

provided in writing.

62. Intormation provided to Class Counsel and the Administrator by the City of New

York pursuant to the preceding two paragraphs shall be confidential, and may not be disclosed to anyone except Class Counsel, Defendants' Counsel, certain City agencies (including DOC,

Department of Probation, Department of Homeless Services, !-hllnan Resources Administration, and the Comptroller's 011ice), the Administrator, or the Court under seal. Class Counsel and the

Administrator shall not disclose the confidential information to any person not a member of their stafr. To the extent Class Counselor the Administrator seck to disclose this information to any other person or entity, they must first seek Defendants' Counsel's consent in writing.

Defendants' Counsel shall not unreasonably withhold consent. In addition, after consent is given, but before disclosing the confidential information to anyone else, including, any agent, contractor, or expert, the Administrator or Class Counsel shall first have such person or org,mization sign the confidentiality agreement attached hereto as Exhibit B. A signed copy of

Exhibit B shall be provided to Defendants' Counsel by expedited transmission immediately but no later than two business days after execution. Class Counsel and the Administrator shall take ad reasonable steps to insure that the confidential information concerning all proposed class Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 35 of 88

members and SCMs, remain private and confidential. In addition, the information provided to

Class Counsel and the Administrator regarding the proposed class members and SCMs will not

be lIsed for any other purpose other than in this iitigation and for the administration of this

Stipulation. Similarly, the City will not usc any infonnation concerning SeMs or proposed class

members that is provided by the Administrator or Class Counsel for any other purpose other than

in this litigation and for the administration of this Stipulation, and the City shall keep such

information confidential.

63. The Administrator will apply for a tax ID number, if necessary, and take all

Ih necessary steps for the timely creation of the CSFA prior to the torty-fifth (45 ) day from the

Pinal District Court Approval.

64. The Administrator shall provide the City with the Employer Identification

Number for the CSFA, and a completed W-9 Form and bank routing information for the trust

fund account, within forty-five (45) days from the Final District Court Approval.

65. The Administrator will treat income taxes as the first priority for payment, and

therefore, shall, on a quarterly basis, set aside an amount sufficient to pay all income taxes, if

any, owed by the CSFA on interest eamed to date. The Administrator shall pay all income taxes,

if any, on a quarterly basis. The City Comptroller shall have the right to inspect and copy all tax

forms (and worksheets), and monthly bank statements of the CSFA. The Administrator will

provide to Class Counsel, Defendants' Counsel, and the City Comptroller with a monthly statement of expenses paid. The City will not be responsible for taxes, penalties, or interest incurred on the Class Fund. The Administrator shall issue all required IRS forms.

66. \Vithin thirty (30) days of receiving the additional identifying information about the SCMs from the City as described in paragraph 60 above, the Auministrator shall generate the Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 36 of 88

Final Class List, and the Administrator shall mail a copy of the Claim Packet by tirst class mail,

postage prepaid, to all persons on the final Class List for whom an address is availabie.

67. Subject to approval from the District Court, the Administrator and Class Counsel

shall be responsible for determining a plan to ensure that as many SCMs as reasonably possible

receive the Claim Packet and see the Summary Notices. A copy of the plan should be sent to

Defendants' Counsel.

68. The SCM must submit a completed Claim Form to the Administrator by the Bar

Dale unless such date is extended by order of the Court. The Administrator shall reject claims

that are untimely. A Claim Foml is deemed subnlitted upon deposit in a postpaid properly

addressed wrapper, in a post office or official depository under the exclusive care and custody of

the U.S. Post Of11ce, or when submitted for delivery by a commercial express carrier, or when

actually received by the Administrator, or if a Claim Forn1 is submitted to the Administrator by

electronic means, upon successful transmission of the Claim form as indicated by an electronic

receipt provided by the Administrator, whichever date is earlier.

69. Every thirty (30) days, after the Preliminary District Court Approval, the

Administrator shall provide the Panics a list of those persons who are preliminarily eligible so that the City mayan a rolling basis determine whether that person's Award Amount will need to be reduced due to :New York City Child Support Liens. The City wiJI not exercise its right to reduce the payments set fonh in this StipUlation by exercising its right to recover any other amounts, including but not limited to amounts due for unpaid City taxes including personal income tax, real estate related taxes, unpaid parking tickets, unpaid Enviroruncntal Control

Board fines, or any Medicaid costs correctly paid against bills from the ~e\v York City Health and Hospitals Corporation. No benefits currently received by SCMs may be terminated or

24 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 37 of 88

reduced as a result of Award Amounts unless mandated by federal or state law or regulation,

This does not constitute a waiver of any right to separately recoup overpayments or any amounts owed solely to federal or statc governments if such is rcquircd by fcderal or state law or

regulation. Within thilty ()O) days of receiving what the Administrator identifies as the last list of those persons eligible to receive an :\ward Amount, the City shall provide the Administrator and Class Counsel with a list of those persons who have New York City Child Support Liens and the amount that shall be deducted from each persons' A ward Amount to pay, satisfy and/or partially satisfy the Child Support Lien, with subtotals for the amount owed to a governmental entity and the amount to be forwarded to the custodial parent (non-governmental) beneficiary of the Child Support Lien. Prior to providing this lis!' the City shall send each person owing Child

Support Liens, and to Class Counsel, a notice describing that they owe these liens and information on how to file a challenge regarding the deduction of the Child Support Liens from the Award Amount. If the City later determ ines that the amount of the liens was incorrect, the

City shall directly pay that person the over-deduction of the amount that was withheld from that person's Award Amount.

70, Any SCM who fails to submit a Claim Porm by the Bar Dale or any court- mandated extension, shall be forever barred from receiving payments pursuant to the Stipulation.

Such person shall be bound by all or the terms of the Stipulation, and the Judgment entered herein, including but not limited to the release of all Released Persons of all Settled Class

Claims, as defined in paragraph 106.

71. The .Administrator shall mail letters and/or otherwise contact SCMs who by the

Bar Date submit partially completed Claim Fomls that are deficient to provide them up to forty­ tive (45) additional days to validate lheir Claim Forms. The absence of a social security number

25 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 38 of 88

or other identifying information shall not be a basis for not issuing an award to a SCM jf the " ..- '-' ;...;

Administrator can otherwise confirm the identity of the SCM.

72. Rights and claims hereunder shall survive the death of SCMs. If a SCM who is

eligible to receive monetary relief under this Stipulation is deceased, the amount payable to such

deceased SCM shall be paid to the appropriate representative of hislher estate. The

representative of the estate shaH provide proof of death and appropriate documentation to show

that she/he is properly a representative of the estate. If the Administrator determines, after

reasonable opportunity has been given, that there is insufficient information or proof regarding

the deceased person's estate to permit such payment, the deceased person's share shall be

distributed in accordance with the terms set forth in paragraph 55 for the distribution of returned

checks.

EXCLUSION FROM THE SETTLEMENT CLASS

73. Any potential SCM who wishes to be excluded from the Settlement Class must by the Bar Date mail a request to be excluded from the Settlement Class ("Request for Exclusion") to the Administrator. Any Request for Exclusion must be in writing and state the name, date of birth, address, and telephone number (if any) of the person requesting exclusion and contain a clear statement communicating that such person elects to be excluded from the Settlement Class.

Originals of alJ Requests for Exclusion shall be retained by the Administrator until such originals are filed with the Court. Named Plaintiffs \.\'ill not request exclusion pursuant to this paragraph.

A list of all exclusions, as well as a copy of the written Requests for Exclusions sent to the

Administrator, shall be provided to Class Counsel and Defendants' Counsel.

74. Any SCM who does not timely fiJe a Request for ExclUSion shall conclusively be deemed to have become a SCM and to be bound by this StipUlation and by all subsequent

26 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 39 of 88

proceedings, orders, and judgments herein.

SERVICE AWARDS FOR NAMED PLAINTIFFS

75. In addition to the Award Amount, each of the Named Plaintiffs will be paid an additional $25,000 each as an award for services provided to the class and for any inconvenience, pain, suffering, and other non-pecuniary loss experienced as a result of having been a Named Plaintiff in this action. Class Counsel shall pay these service awards from the

Settlement Costs.

ADDITIONAL NOTICE

76. To augment the Administrator's efforts to ensure that as many persons as reasonably possible receive notice, the Parties will work cooperatively together to ensure that the

Summary Notices are posted in places where SCMs are likely to see them. The Administrator will provide the Parties with the requested number of copies of the Summary Notices, and will email the Parties a PDP version of the Summary Notices.

77. The City agrees to ensure that the Summary Notices are posted in the following locations within two weeks of the initial mailing of the Claim Packets and approval of the

Summary Notices, whichever date is later:

a. NYC Department 0/Correcfion: In the intake areas and law libraries of all of its

housing facilities, and in the court pens at the state courthouses that are under

DOC control.

b. Departmenf 0/ Homeless Services: In the entrance areas of all shelter intake areas

and in all shelters run by the Department of Homeless Services, in areas where

legal notices regularly appear.

c. New York Stale Department of Correctional Services: The City agrees to join

27 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 40 of 88

plaintiffs in making a formal written request to NYS DOCS, to be disseminated

on official City of New York letterhead, forwarding a copy of the Stm1.mary

Notices to NYS DOCS ond requesting that NYS DOCS post the Summary Notices

as extensively as reasonably possible, in locations where individuals incarcerated

in their facilities are likely to see them.

d. New York City Department of Probation ("DOl'''): In the waiting areas of the

adult supervision office for each borough in ~ew York City in locations where

individuals on probation are likely to see them, and as extensively as reasonably

possible.

e. NYC Human Resources Administration: Prominently in one place in each client

contact location (this does n01 include administrative ot!ices), for example, Job

Centers, Food Stamp offices, Medicaid offices and HI VIAJDS Services

Administration locations.

f. NYC Administration for Children's Services: Prominently in a central public

location in each field office location where clients will able to see the notice.

g. New York City Housing Authority (NYCfJA): The City agrees to join Plaintiffs in

making a formal v"Titten request to NYCHA, to be disseminated on official City

of New York letterhead, forwarding a copy of the Summary Nolice to NYCHA

and requesting that NYCHA post the Summary Notices as extensively as

reasonably possible, in locations where residents of their facilities are likely to see

them.

h. New York City Human Services Contracfors: The City agrees to join PlaintifJs in

making a fom1al written request to a rdevant group of the City's human services

28 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 41 of 88

contractors appearing in Exhibit C, to be dissemin

City of New York letterhead, forwarding copies of the Summary Notices to all of

the City's human services contractors and requesting that each post the Summary

Notices as extensively as reasonably possible, in locations where participants in

their programs arc likely to see them,

78. Within two weeks of the initial mailing of the Claim Packets and approval of the

Summary Notices, whichever date is later, Class Counsel will forward copies of the Summary

Notices to the New York State Office of Court Administration (including local administrative

judges) and the New York State Division of Parole (including regional Parole offices) and

request that they post the Summary Notices as extensively as reasonably possible, throughout

offices and/or locations where arrestees, detainees or individuals on probation are likely to see

them.

79. Within two weeks of the initial mailing of the Claim P[1ckets and approval of the

Summary Notices, whichever date is later, Class Counsel will mail a letter to the following

public defender offices requesting that they post the Summary Notices: The Legal Aid Society (in

each borough), 'lbe Bronx Defenders, New York County Defenders, Queens Law Associates,

Brooklyn Defender Services, Neighborhood Defender Services, Appellate Advocates, Center for

Appellate Litigation, Office of the Appellate Defender, and the Assigned Counsel Plans for the

First and Second Departments.

80. Within two weeks of the initial mailing of the Claim Packets and approval of the

Summary Notices, whichever date is later, Class Counsel will mail a letter to the following non­ profits requesting that they post the Summary Notices: Coalition for the Homeless, Partnership for the Homeless, Osborne Association, East Harlem Life Plan, Phoenix House, GreenHope,

29 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 42 of 88

Fortune Society, Center for Employment OppOJ1unitil;!s, STRIVE, Doc fund, Odyssey House,

Jericho Project, Exodus Transitional Community, Bowery Residents Committee, Fifth Avenue

Committee, Legal Action Center, Women's Prison Association, Palladia, GylHC, Empire State

Pride Agenda, New York City Anti-Violence ProJect, {,GBT Community Centers, Bronx

Community Pride Center, Ali Forney Center, I-lousing Works, Legal Services-NYC, Part of the

Solution (POTS), Seedco, Bronx\Vorks, HELP USA, Lift Communities, Good Shepherd

Services, Catholic Charities, CAMBA, Urban Justice Center, MFY Legal Services, Northern

Manhattan Improvement Corporation, Lennox Hill Neighborhood HOllse, Goddard Riverside

Community Center, Settlement Houses, .:-Teighborhood Association for Intercultural Affairs

(NAICA), FEPS providers, Create, Inc., Daytop Village, Project Renewal, Samaritan Village,

and Center for Urban Community Services (CUCS). Summary Notices also may be placed by

Class Counsel in locations comparable to those set forth in this section in an effort to give notice

to as many SCMs as is reasonably practicable.

81. Nothing in this section shall limit further appropriate efforts to provide notice.

82. Within thirty (30) days after Preliminary District Court Approval, Class Counsel

shaH provide the Claim Form and the Summary Notices to the Court for approval. At least

fifteen (15) days prior to submission to the Court for approval, Class Counsel shall provide

Defendants with copies of the proposed Claim Form and Summary Notices for review.

Defendants reserve the right to object to the proposed Claim Form and Summary Notices should

the parties not agree on the hmguage proposed by Class Counsel.

EXCESS FUNDS

83. Any amount remaining in the Remainder shall be distributed to the Settlement

Class. If funds are not sunicient for distribution, then Class Counsel will petition the Court for

30 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 43 of 88

an order consislcll\ \vilh cy pres principles.

EQUITABLE RELIEF

Vacatur of Qualifying Dispositions

84. Defendants and the DA.os agree to consent to and cooperate in and make best,

vigorous, and timely efforts in an omnibus New York state court proceeding initiated by Class

Counsel, in a process to be determined in consultation with the New York State Office of Court

Administration COCA"), to vacate, dismiss, and seal all cases charging the Statutes within the

tive boroughs of New York City thtlt have "qualifying dispositions" us defined in the parties' and

lhe DAOs' letter agreement dated January 18,2012.

85. The parties' and DAOs' letter agreement dated January 18, 2012, is hereby

incorporated by reference and attached hereto as Exhibit A.

86. As part of the District COllrt's ongoing jurisdiction over the Parties to enforce and

administer the terms of this Stipulation, the parties agree thaI any disputes regarding cooperation

in the omnibus New York state court proceeding shall be resolved by the Honorable Theodore S.

Katz or by another Magistrate Judge selected by the Court.

87. The provisions of this section at paragraphs 84~86 shall remain in effect until the omnibus state court proceeding is completed. Plaintiffs will use best efforts to submit the omnibus motion no later than six months after Final District Court Approval.

Sealing

88. Defendants agree to comply with N.Y. Cdm. Proc. L. §§ 160.50 and 160.55 concerning any and all Loitering Charge [ncidcllts either terminated in fiwor of the accused person as defined by N.Y. Crim. Proc. L. § 160,50(3) or terminated in a conviction for a non-criminal

J I Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 44 of 88

otIensc as defined by N. Y. Crim. Proc. L. § ]60.55(1), including but not limited to Loitering

Charge Incidents where (a) following the arre~t of such person, the arresting police agency, prior to the filing of an accusatory instrument in a local criminal court, elects not to proceed further; (b) prior to the filing of an accusatory instnllnent in a local criminal court against such person, the prosecutor elects not to prosecute such person; or (c) a court has issued an order dismissing the action, as follows.

a. Pursuant to N.Y. Crim. Proc. L. §§ 160.50(1)(a) and 160.55(1)(a), defendants

agree to destroy every photograph and photographic plate or proof taken or made

in regard to the action or proceeding of a person charged in a Sealed Loitering

Charge Incident, and all duplicates and copies thereof.

b. Pursuant to N.Y. Crim. Proc. §§ 160.50(1)(3) and ]60.55(1)(a), defendants

agree to destroy every palmprint and fingerprint taken or made 111 regard to the

action or proceeding of a person charged in a Sealed Loitering Charge Incident,

and all duplicates and copies thereof except digital fingerprint images where

authorized byN.Y. Crim. Proc. L. §§ 160.50(1)(e) or 160,55(l)(e),

c, Pursuant to N.Y, Crim. Proc, L. §§ 160.50(1)(b) and J60,55(1)(b), that for any

Sealed Loitering Charge Incidents for which NYPD transmitted or othenvise

forwarded to any agency of the Cnited States or of any other state or of any other

jurisdiction outside the state of New York copies of any such photographs,

photographic plates or proofs, paJmprints and fingerprints, NYPD will fonnalJy

request in writing that all such copies be destroyed or returned to NYPD, and, if

returned, NYPD shall destroy them.

32 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 45 of 88

d. Pursuant to ~.Y. Crim. Pmc. L. §§ 160.50(1)(c) and J60.55(J)(c), all official

. records and papers, (including, for §160.50( 1)(c) only, judgments and orders of a .

conrt but not including published court decisions or opinions or records and briefs

on appeal), relating to the Sealed Loitering Charge Incidents, including all

duplicates and copies thereof on tile with any police agency or prosecutor's office

shall be senled and will not be made available to any person or public or private

agency except as permitted by N.Y. Crim. Proc. L. §§ 160.50(l)(d) or

160.55(1)(d).

The provisions of paragraph 88 shall remain in effect until the deadline for the certification in paragraph 89 expires, or two years from the Effective Date, whichever is later.

89. Within 30 days after a final granting of the plaintiffs' omnibus state court motion as defined in paragraph 84, plaintiffs will provide detcndants with a list, in electronic or digital format, of Loitering Charge Incidents by Arrest Number that should be sealed under state law.

Within 180 days of receipt of this list from plaintiffs, defendants, through an appropriate official, will conduct a review and certify in writing as follows:

a. Pursuant to N.Y. Crim. Proc. L. §§ 160.50(1)(c) and J60.55(1)(c), the City

of New York certifies that all official records and papers stored digitally or

electronically relating to the arrest Loitering Charge Incidents on the lists

provided by plaintiffs on file with any police agency or prosecutor's office have

been sealed and will not be mude available to any person or public or private

agency except as permitted by N.Y. Crim. Proc. L §§ 160.50(1)(d) or

]60.55(1 )(d).

b. Pursuant to N. Y. Crim. Proc. L. §§ 160.50(1 )(a) and 160.55( I )(a), the City

33 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 46 of 88

of New York certiiies that it bas destroyed every photograph and photographic

plate or proof and every palmprint and fingerprint, taken or made in regard to the

action or proceeding of a person charged in tbe arrest Loitering Charge Incidents

on the lists provided by plaintiffs, and stored digitally or electronically, and all

duplicates and copies thereof, except as authorized by N.Y. Crim. Proc. L. §§

160.50(l)(e) or 160.55(1)(e).

c. The City of New York certifies that all official records and papers stored

digitally or electronically in NYPD computer databases relating to summons

Loitering Charge Incidents are maintained as sealed and will not be made

available to any person or public or private agency except as pennitted by N.Y.

Crim. Proc. L. §§ 160.S0(1)(d) or 160.SS(l)(d).

90. Nothing in this Stipulation is intended to create a cause of action under N.Y.

Crim. Proc. L. §§ 160.50 or 160.55 or otherwise. Plaintiffs in no way 'Naive their rights to

enforce the tem1S of this StipUlation and Order of Settlement consistent 'with the procedures set

forth herein.

Notation of Unconstitutionalitv

91. Defendants agree to join Plaintiffs in making a formal written request to OCA and the New York State Division of Criminal Justice Services ("DCJS") to create a pennanent notation of unconstitutionality, the language of which shall be jointly agreed upon by the parties subject to OCA and neJS approval. attached to electronic records of all Loitering Charge

Incidents. This permanent notation would accompany any repOJi or record containing or referencing Loitering Charge Incidents, including but not limited to an individual's criminal history, produced by OCA or DCJS to any person or public or private agency.

34 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 47 of 88

92. The formal request will include, at a minimum, tl joint letter from the palties

agreeable to the parties and may include reasonnble meetings and reusonable contacts with state

agency personnel in support of the request.

93. Under no circumstances will the provisions in the preceding two paragraphs

remain in effect for longer than two years trom the Eflective Date.

JOint Request to DCJS to Notify FBI and Request Removal

94. Defendants agree to join Plaintifls in making a formal written request to DClS to

officially notify the Federal Bureau of Investigation ("FBI") regarding the unconstitutionality of

the Statutes and to request removal of all records related to Loitering Charge Incidents, including

records of arrest, conviction, fingerprints, and photographs, from databases maintained by the

FBI and other federal agencies, including but not limited to the National Criminal History

Record File, Integrated Automated Fingerprint Identification System (lAFIS), Next Generation

Identification (NGI), Interstate Identification Index (III), National Crime Infommtion Center

(NCIC), Law Enforcement National Data Exchange (N-DEx), Automated Biometric

Identification System (IDENT), and National Instant Criminal Background Check System

(NICS).

95, The formal request to DClS wiI! include, at a minimum, a joint letter from the parties agreeable to the parties and may include reasonable meetings and reasonable contacts with sWte agency personnel in support of the request.

96. Under no circumstances will the provisions ll1 the preceding two paragraphs remain in effect for longer than two years from the Effective Date,

35 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 48 of 88

Prevention Policies

97. De'f'endants agree to continue for two (2) years from the Effective Date to do the following:

a. Continue to provide automated notifications from the NYPD Chief of

Department's office in the event of any nc\\' Loitering Charge Incident entered into

data systems maintained by Defendants,4 except with respect to notifications of any

attempts to charge the Statutes, in which case, NYPD agrees to provide Attempts to

Charge Reports. Defendants shall provide Class Counsel on a monthly basis with a

copy of the reports referenced in this subsection.

b. The NYPD Internal Affairs Bureau ("IAU") will investigate any Loitering

Charge Incident occurring after the date of this Stipulation in a process consistent

with and at least equivalent to that described in the Declaration of Rosemary DeBellis

In Support of Defendants' Opposition to Plaintiffs' Motion for Contempt, Injunctive

Relief and Discovery Sanctions dated February 8,20 I0, '\27 et seq. Defendants shall

provide Class Counsel with the complete documentation of lAB's investigation and

report of any Loitering Charge Incident within sixty (60) days of completion by lAB.

c. In a process consistent with the procedures set forth in the preceding sub­

paragraph (b), the NYPD Internal Affairs Bureau ("lAB") will investigate any

attempt to charge any of the Statutes that appears in an Attempts to Charge Report

and occurs after the date of this StipUlation, so long as an arrest rep0l1 for any other

charge is not prepared in connection with the same incident. For all other attempts to

charge any of the Statutes that are recorded in an NYI'D Attempts to Charge Report

4 Declaration of Rosemary DeBellis In Support of Defendants' Opposition to Plaintiffs' \'Iotion for Contempt, Injunctive Relief and Discovery Sanctions dated February 8. 2010 at "19.

36 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 49 of 88

and occur after the date of this Stipulation, the Office of the Deputy Commissioner of

LegaJ ~jIatters of the NYPD will send a letter to the Commanding Officer of any

officer who attempts to charge any of the Statutes, requesting that the Commanding

Officer or his or her delegate instruct the officer regarding the unconstitutionality of

the Statute, review any cheat sheets in the officer's possession to delete the Statutes

from that item if found there, and consider any discipline appropriate under

Departmental guidelines, Defendants shall provide Class Counsel with a copy of all

letters issued pursuant to this paragraph within sixty (60) days of issuance,

d, Affix a notation to all new packages of summonses issued to NYPD

containing a warning that the Statutes cannot be enforced,

e, Should a summons issue under any of the Statutes, the NYPD command to

which the officer who issued the summons is assignetl shal I review the "cheat sheets,"

"Master C-Summons lists," or any other non-NYPD issued compilations of common

summonsable offenses in the possession of police officers assigned to the command;

delete the Statutes from these items; document the officer to whom the item

belonged; and photocopy the relevant page that contained the Statute at issue,

Defendants shall provide Class Counsel with a report documenting the results of this

"cheat sheet" review within sixty (60) days of its completion.

f. Conduct training, in a manner determined by Defendants, including annual

in-service training at NYPD, informing NYPD police ofticers that the Statutes are

unconstitutional and unenforceable, and that any charge incident under the Statutes

may result in disciplinary action.

37 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 50 of 88

Prospective Obligations

98. Defendants agree that they will maintain a commitment not to enforce the Statutes for a period of two years from the Effective Date. 'rhis commitment will be enforceable pursuant to the terms of this Stipulation for a period of two years from the Effective Date.

99. Upon Preliminary District Court Approval, this Stipulation and Order resolves all prospective obligations pursuant to the Court's April 26, 2010 Opinion in the Brown and Casale matters.

Administration of Agreement and Dispute Resolution

100. The District Court shall retain jurisdiction over the Parties to enforce and administer the terms of this Stipulation and Order of Settlement during the period it, or any of its provisions, remain in effect, upon the filing of an appropriate motion by any party.

101. The parties shall endeavor in good faith to resolve informally any differences regarding interpretation of and compliance with this StipUlation and Order of Settlement prior to bringing such matters to the Court for resolution.

102. Upon the finding of good cause shown, the Court may grant such relief as it deems just and proper.

103. Equitable. Relief: At any time prior to the expiration of this StipUlation, should

Class Counsel have determined that the Defendants have failed to comply with any term of the

Stipulation regarding Equitable Relief only, as set forth above in Paragraphs 84-97, Class

Counsel shall forward written notification of such non-compliance to the Deputy Commissioner for Legal Matters of the NYPD and to the Office of the Corporation Counsel.

a. Should the Defendants agree that they have not complied with the

specified term(s), the Defendants shall specifically perform said term(s) within a

38 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 51 of 88

reasonable period of (ime, to be mutually agreed upon (hrough the good fai(h

dforts ofthe parties and their counsel.

b. Should the Defendants dispute the Class Counsel's determination of the

Defendants' non-compliance, or if the parties cannot agree on a time frame within

which the Defendants are to perform an obligation with which they agree they

have not complied, or in the event the Defendants fail to perform an obligation

they have agreed to perfom1 in accordance with the provisions of paragraph

103(a) above, Class Counsel may apply to the Court for an order directing

specific performance of that term or terms. Such application may not be made

fewer than thirty days after the initial notification of non-compliance to the NYPD

and Office of the Corporation Counsel.

c. In no event shall any of the Defendants be adjudged in contempt for

proven non-compliance with any of the terms or provisions of this Stipulation,

relating to Equitable Relief only as set forth above in paragraphs 84-97, unless

and until the Defendants fail to comply with an order from the Court directing

specific performance of such terms or provisions, obtained by the Class

Representati ves and/or class members in compliance with the provisions of this

paragraph.

EXPIRATlON OF AGREEMENT

104. Unless otherwise noted herein at paragraphs 84-89, this StipUlation shall expire two (2) years from the Effective Date.

39 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 52 of 88

J;-:FFECT O"F STIl>ULATION

105. Within live (5) business days of the Funding Date, all claims in the aboyc­

referenced action will be dismissed, with prejudice, and without costs, expenses, or fees in

excess of the amount authorized by the paragraphs above.

106. The Stipulation, as of the Effective Date for Payment, resolves in full all claims,

with prejudice, against the Released Persons by SCMs, including the Named Plaintiffs, arising

out of any charges under the Statutes before the Bar Date. When the Stipulation is final, as of

the Effective Date for Payment, all SCMs, including the Named Plaintiffs, hereby release all such

claims, except for claims against the DA Offices. All SCMs, including the Named Plaintiffs,

hereby release all such claims against the DA Offices as of the date that the omnibus state court

motion described in Exhibit A is fully submitted to the state court for decision.

107. This Stipulation contains all the terms and conditions agreed upon by the Parties,

and no oral agreement entered into at any time nor any written agreement entered into prior to

the execution of this Stipulation shall be deemed Lo exist, or to bind the Parties hereto, or to vary the terms and conditions contained herein.

108. As of the Effective Date for Payment, the SCMs, including the Named Plaintiffs, hereby waive any and all rights to pursue, initiate, prosecute, or commence any action or proceeding before any court, administrative agency, or other tribunal, or to file any complaint \vith regard to acts of commission or omission by the Released Persons respecting Settled Class Claims.

109. Each SCM shall be deemed to have submitted to the jurisdiction of the Court.

110. No Opt-Out shall share in any monetary benefits provided by this Stipulation

III. The Parties will take all necessary and appropriate steps to obtain approval of the

Stipulation and dismissal of the action with prejudice. If the District COllI1 approves this

40 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 53 of 88

Stipulation, and if there is an appeal from such decision by a non-party, Defendants will join Class

Counsel in defense of this Stipulation on any such appeal or subsequent proceeding.

112. The Parties hereby agree that a Final Judgment may be entered against the City of

New York in accordance with the teons of this Stipulation within five (5) days after the date of

Final District Court Approval.

113. The Parties hereby agree not to appeal any aspect of this Stipulation, under any

condition or circumstance, or to otherwise collaterally attack or challenge this Stipulation.

114. The District Court shall retain jurisdiction over the Parties to enforce and administer the terms of this StipUlation and Order during the period it, or any of its provisions, remain in effect.

41 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 54 of 88

115. Signnl1lres on nn electronically transmitted copy of this Stipulation £llld Order

shall be de~med to be original signatures.

Dated; New York, NY January 26, 2012

MICHAEL A. CARDOZO EMERY CELLI BRlNCKERHOFF & Corporation Counsel of the City ofNew York ABADYLLP 1 75 Rockefeller Plaza, 20 l! Floor counse.., or D(;/i.e."dUlifS i New York, Ne~v Y(Irk 10019 100 Chl C~hStr CI / C Now¥' Tk. N /1 Y rk 10 67 BY:~~~#" Katherine Rosenfeld By/~A._l. ... Matthew D. Brinckerhoff ~atel Seligm 1 Weiss Assistant Corporation Counsel

/

42 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 55 of 88

V 1J9IHX3 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 56 of 88

E:vIERY CLUJ BRI>JCKERHOFF & ABADY LLP

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January 18,2012

Rachel Seligman Weiss Linda Donahue Assistant Corporation Counsel The City ofNew York Law Department 100 Church Street New York, NY 10007

Re: Casale v. Kelly, 08 Civ. 02173 (SAS) (THK) Brown v. Kelly, 05 Civ. 05442 (SAS) (THK)

Dear Counsel:

We writt: to memorialize the agreement between all parties to the above-captioned litigations and the five District Attorneys' Offices of Bronx, Kings, Queens, New York and Richmond Counties ("the five District Attorneys' Offices of the City of New York") to consent and cooperate in nn omnibus New York state COUlt proceeding brought pursuant to N.Y. C.P.L § 440.10 in order to vac[lle, dismiss, and seal all qualifying dispositions for cases charging loitering pursllanilo N.Y. Penal Law § 240.35(1), N.Y. Penal Law § 240.35(3), and N.Y. Penal L

1. Purpose of Agreement

N.Y. Penal Law § 240.35(3) and N.Y. Penal Law § 240.35(7) were declared unconstitlltionai in 1983 and 1988, respectively. See People v. Uplinger, 460 KY.S.2d 514 (1983); see also People v. Bright, 526 N.Y.S.2d 66 (1988). The Second Circuit declared N.Y. Penal Law § 240.35(1) unconstitutional in 1992. See Loper v. New York City Police Dep't, 999 F.2d 699, 701 (2d Cir. 1993). AHer being dec:ared unconstitutional, thousands of people were convicted of violations of the Statutes. Many more received other dispositions that were less lhan fully fhvorable or did not qualify for sealing under C.P.L. § 160.50, such as dismissals pursuant [0 C.P.L. § 730.40. Because these convictions and non-conviction dispositions other Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 57 of 88

EM(:RY C~LLI BRNCKF.?.HOFF & AB!\DY LLI' Page 3 III. Omnibus State Court Procecding to Vacatc, Seal, and Dismiss

The parties and the five District Attorneys' Offices of the City of New York agree 10 utilize the following general procedure to address all existing qualifying dispositions for violations of the Statutes.

Plaintiffs will file an omnibus motion in state court requesting vacatur and dismissal of all qualifying convictions and other qualifying non-conviction dispositions as follows:

• For cases involving a qualifying conviction and no convictions for other charges, the court should (1) vacate the judgment of conviction, (2) dismiss the entire accusatory instrument, and (3) order sealing pursuant to C.P.L § 160.50, I • For cases involving a qualifying conviction and another, non-qualifying conviction charge, the court should (l) vacate the judgment of the qualifying conviction, (2) dismiss the unconstitutional loitering charge(s), and (3) expressly order that the non­ qualifying convictions remain valid judgments nunc pro tunc. • For cases involving a qualifying non-conviction disposition and no convictions for other charges, the court should (I) vacate the disposition, (2) dismiss the entire accusatory instrument, and (3) order sealing pursuant to C.P.L § 160.50?

Plaintiffs will also request sealing of any and all cases charging the Statutes that have qualifYing case dispositions under c.P.L. § ]60.50(3) or C.P.L. § 160.55(]) but are not currently sealed due to error or court order,

Plaintiffs' motion will be filed "on consent" of the five District Attorneys' Offices of the City of New York to the requested relief. Venue will be determined pending further discussions with OCA.

IV. Procedure for Identifying Qualifying Dispositions

Plaintift:~ will draft a motion for the requested relief. Attached as an exhibit to the motion will be a comprehensive list by defendant name, docket number, county alld category of relief (from Section m, supra) or all qualifying dispositions for which vacatur, dismissal, and (where appropriate) scaling is sought ("list of qualifying dispositions by name and docket

I It is agreed that the signatories to this letter agreement do not intend to fe-open any charges in the same accusatory instrument "covered" by a guilty plea to a qualifying conviction, or otherwise disposed with a non-conviction, and that no known mechanism exists ror doing so. lW ith the exception of a case held in abeyance pursuant to c.P.L. § 730.50 involving n feiony and within the time prescribed by the statllte, it is agreed that the signatories to this letter agreement do not intenu to re-open any charges in the same accllsatory instrument that were disposed ,'lith a non-conviction, and that no known mechanism exists for doing so. Notwithstanding the possibility that a case may be re-opened under C.P.L. § 730.50, the DAOs will dismiss the loitering offense in accordance with the procedures set forth herein. Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 58 of 88

E1vlERY CELLI BRINCKElUlOFF & Al3f\DY LLP Page

Plaintiffs will provide the Jist of qualifying dispositions by name and docket number to defendants and the five District Attorneys' Offices of the City of New York at least one hundred fifty (150) days prior to the filing of the motion and within 60 days of the Preliminary District Court Approval. Prior to filing, the five District Attorneys' Offices of the City of New York shall first have the opportunity to review the list of qualifying convictions by name and docket number to confirm that the dockets charge the Statutes and are in appropriate categories (as defined by the remedies in Section III, supra) and that the docket numbers are correct. On a rolling basis (at least every thirty (30) days after receipt of the list of qualifying dispositions), tht; five District Attorneys' Offices of the City of New York will provide Plaintiffs with a list of cases that they believe do not fit into the categories of qualifying dispositions and the reasons for that position.} The five District Attorneys' Offices of the City ofNew York shall notifY Plaintiffs of aJl cases that they believe do not fit into the categories of qualifYing dispositions by no later than one hundred twenty (120) days after their first receipt from Plaintiffs of the proposed list of qual ifying dispositions,

To the extent that Plaintiffs receive updated information from OCA which contains new prosecutions, Plaintiffs will provide a list of only the new qualifying dispositions by name, docket number, county and category of relief ("Updated List") to defendants and the five District Attorneys' Offices of the City of New York. The Updated List must be provided more than 45 days before tht; filing of the omnibus motion. Within 30 days of receipt of an Updated List from Plaintiffs, the live District Attorneys' Offices of the City of New York will notifY Plaintiffs of any cases they do not believe fit into the categories of qualifYing dispositions and the reasons for that position. If Plaintiffs seek to add any new cases arising from new prosecutions to the Updated List after the motion is submitted to the court but while it is still pending, the parties shall follow the procedures set forth in this paragraph.

The deadlines set forth in this letter agreement reflect the parties' and the District Attorneys' Offices' best current estimates for how long it will take to complete the tasks described herein. As necessary, plaintiffs will agree to reasonable extensions of time to allow the District Altornt;ys' Offices to complete the agreed-upon tasks. The signatories will endeavor in good faith to resolve informally any differences regarding the constitution of the final list of qualifying dispositions and of interpretation of and compliance with this letter agreement. As part of the District Court's ongoing jurisdiction over the Parties to enforce and administer the terms of the Stipulation and Order of Settlement, the signatories agree that any disputes regarding coopcration in the omnibus New York slate court proceeding shall be resolved by the Honorable Theodore S. Katz, or by another Magistrate Judge selected by the Court.

)The DAOs also rescrve their right to object to a case being included in the omnibus motion if, upon review, it is determined that thc procedures sct forth herein may present unanticipated or unexpected legal issues which could impact on 11 valid conviction. Any such objections and the reason(s) for the objection will be made on a rolling basis (at least every 30 days after n receipt of the list of qtlalifying dispositions). Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 59 of 88

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,r',; j Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 61 of 88

Et-.1ERY CELL[ 8RINCK~RHOrF & AUADY Lll'

Accepted and Agreed to: BRONX COUNTY DISTRICT ATTORNEY'S OFP1CE By: ______

Nflme: ~~_, __ Tille: ,.....-~_____ Dille: --.-______

Accepted nnd Agreed to: QUEENS COUNTY DISTRICT ATIORNBY'S OFFICE By; ____ ~_~__ ~.______.__ ~_ Name: ...... Title: '-'-"c-'-~-----'-~..,..r~~

Accepted and Agreed to: KfNOS COUNTY DISTRICT ATIORNEY'S OPFICE By: _____ .____ .. Name: _____~ Title: ----~----_r_-- Date: _____~_~__--'-_

Accepted and Agreed to: RICHMOND COUNTY DlSTRTC'T ATTORNEY'S OFFICE By: ____. ______..__._. ___ ..._ ..__ _ Name: Title: ______._...... ____. Date: Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 62 of 88

Name; __~_---"'_----_' Title: ______Date: ______" _, ___,______

Accepted lind Agreed 10: QUEENS COUNTY DISTRICT AITORNEY'S OFFICE Oy: ______~______Name: ______T!tle: Date: ___

Accepted and Agreed to: KINGS COUNTY DISTRlCT AITORNEY'S OFFICB By:__ __~~____ Name: _____ TItle: ­ Dale:

Acceptee and Agreed to; RICHMOND COUNTY DlSTRJCT AITORNEY'S OFFICB 8y: ______,_

Name: __.______~_____..__,_____ Title: ______,__ _ Date: _____,_,,,,,_ Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 63 of 88

EMERY CELL) BRINCKERHOPI' & ABADY LLP Pug~ 6 Name: Title: Dille:

Accepted llnd Agreed to; BRONX COUNTY DlSTRJCT ATIORNEY'S OFFICB By: __.______Name: ______.______Tille: ~____.___ .. ______....____.._ Date:

Accepted lind Agreed 10; KINOS COUNTY DISTRlCT ATTORNEY'S OPF1CE By: . ._~_____..._ .. _....___ Name; TJtle: Date; _____.____.

Accepted and Agreed to: RlCHMOND COUNTY DfSTRICT ATTORNEY'S OFPICE By; ______.__ ...______..___ _ NOllle: ___.....~______.___ _ TItle: __ ._. ___~_._.~. ___. __.. ___ _. __._ Date: Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 64 of 88

EtI-mRY CELLI BRINCKEfU10FF & AOADY Ltl' Pngc6 Name: Title: Dato:

Accepted and Agreed to: BRONX COUNTY DISTRICT AITORNEY'S OFFICE By: _"___.__~."" .___....__.... Name: ______"..__ .~___. Title: __ ...... ~."_.______Date:

Accepted and Agreed to; QUEENS COUNTY DISTRICT ATTORNBY'S OfFICE By; _'__ .,.__...... ______..~___ Nnmc: ______Tltle: ______Date: ___ "",. ______.. ~____

Accepted and Agreed to: RlCHMOND COUNTY DISTRICT ATIORNEY'S OFFICE By: ,___.____... _._..___.._ Nume: ___ Title: ______..__.....___ Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 65 of 88

EMERY CELLI BfUNCKE!U10i'r & AB.!\DY LLf' I)ugc G

Nllme: Tltk DUlt:

Accepted and Agreed to: BRONX COUNTY DISTRICT t\TTORl'I'EY'S OFfICE By: Name:. .. Title: .. __ ._ ...... _ .. . Dole:

Acccp!~d and A greed to: QUEENS COUNTY D1STRlCT A1·roRNEY'S OFFICE By: Nam~: TItle: .__ ... _ ... _ ..•_....___..... Dote: .___.. .

Accepted Dnd Agreed to: KfNGS COUNTY DISTRICT ATTORNEY'S OrrlCB By: __ . ___._~_.~ Nflme: _____... __. Title: Date: Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 66 of 88

F,XHIBIT B

The undersigned hereby ackn()\vledges that I have read paragraphs 60-62 of the Stipulation of Settlement, dated January 26, 2012, in Casale v. City ofNew York, 08 Civ. 2173 (S.D.N.Y) and Brown v. City of New York, 05 Civ. 5442, and understands that the information provided to me pursuant to this settlement is confIdential, and may not be disclosed to any other person or entity except Class Counsel, Defendants' Counsel, the Administrator, or the Court under seal. The undersigned agrees not to use this confidential information for any purpose other than in connection with the administration of this senlcment in this lawsuit, and \vill not disclose any of the confidential infonnation in any fonn to any other person or entity except Class Counsel, Defendants' Counsel, the Administrator, or the Court under seal.

Date Signature

Print Name

Occupation

43 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 67 of 88

EXHIBIT C Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 68 of 88

Accelerated Childhood Education, Inc, Action Center for Education and Community Development, Inc ACTION FOR PROGRESS, INC, ACTION NURSERY, INC, Addicts Rehabilitation Center Foundation, Inc. ADVENT COMMUNITY SERVICES DAY CARE CENTER, INC. Advocate, Intervene, Mentor RFP African Services Committee AFRO-AMERICAN PARENTS DAY CARE CENTER, INC, Agudath Israel of America Community Services, Inc. AGUDATH ISRAEL OF AMERICA/BORO PARK AGUDATH MORIAH LUNCHEON Aguila, Inc, AlA/BAY/EDEN SENIOR CENTER AIDS Center of Queens County, Inc, Alcoholism Council of Greater NY Ali Fame y Center Inc, ALiANZA DOMINICANA, INC ALLEN AME SENIOR TRANSPOR ALLEN AME TRANSPORTATION ALLEN COMMUNITY SENIOR CI Allied Medix Resources ALONZO A. DAUGHTRY MEMORIAL DAY CARE CENTER, INC, I ALPHA KAPPA ALPHA SORORITY EPSILON PI OMEGA CHPT DCC, INC, ALPHA PHI ALPHA SENIOR CTR 'Amenca Works of New York American Italian Coalition of Organizations, Inc, AMERICAN LUNG ASSOCIATION OF NEW YORK Amethyst House, Inc, Amistad Early Childhood Educational Center Inc ANNA LEFKOWITZ DAY CARE CENTER, INC, Appellate Advocates ARAB·AMERICAN FAMIL Y SUPPORT CENTER 77266, THE Arbor E&L LLC Arbor E&T ARC XVI Ft Washington Senior IAREA 145, INC, AS THE TWIG IS BENT CHILDRENS INC.

Exhibit C Page 1 of 21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 69 of 88

Asian Americans for Equality Asian Professional Extension, Inc. Asociaciones Dominicanas, Inc ASDira of New York Inc Assn. for Neurologically Impaired BLACK SOC. WRKERS Association for Children with Down Syndrome, Inc. Association for Metroarea Autistic Children, Inc Association for Rehabilitative Case Management Association to Benefit Children, Inc. Astella Development Corp. Astor Home for Children (Services for Children & Families) ASTOR SERVICES FOR CHILDREN & FAMILIES Ateres Mordechai IATLED, INC. AUXILIARY ENTERPRISE BOARD OF NYC TECHNICAL COLLEGE , INC Bailey House Baltic Street AEH, Inc. Bank Street College of Education Barrier Free Living, Inc Basic Housing, Inc, Battiste, Aronowsky and Suchow Bay Ridge Physical Therapy BEDFORD HARRISON DAY CARE CENTER, INC Bedford Park Multi-Service Center for Senior Citizens, Inc Bedford Stuyvesant Restoration Corporation Be'er Hagolah Institutes , BELLEVUE DAY CARE CENTER, INC. BELMONT COMMUNITY DAY CARE CENTER, INC, Belmont-Arthur Ave LDC BERGEN BASIN COMM DEV/ABE STARK BERGEN BASIN COMM DEV/MIDWOOD BERGEN BASIN COMM DEVNANDAUA Bergen Basin Community Development Corp Bergen Beach Youth Organization, Inc. BETANCES EARLY CHILDHOOD DEVELOPMENT CENTER BETH ABRAHAM HEALTH SERVICES BETH EMETH HOMECARE Beth Israel Medical Center BETH JACOB DAY CARE CENTER, INC. BETHANY DAY NURSERY, INC. BETHEL MISSION STATION CHURCH BETHESDA DAY CARE CENTER OF BROOKLYN. INC BETHLEHEM EVANGELICAL/BAY RIDGE CENTER FOR OLDER BIG FIVE BLOCK ASSOCIATION, INC. Bilinguals, Inc. BILLY MARTIN CHILD DEVELOPMENT DAY CARE CENTER, INC, BIRCH FAMILY SERVICES (HERBERT G. BIRCH SERVICES INC.) Bklyn Hsg and Family Svcs Black Veteran's for Social Justice, Inc BLANCHE COMMUNITY PROGRESS DAY CARE CENTER, INC.

Exhibit C Page 2 of 21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 70 of 88

BMCC EARLY CHILDHOOD CENTER INC. BNOSZIONOF~B~O~B~O~V~,I~N~C.~______~______~______~ BORO PARK YM·YWHA SR CTR BOULEVARD NURSERY SCHOOL, INC. Bowe Residents' Committee, Inc. Bo s & Girls Harbor, Inc Bo s Town New York Dean (Bk) Bo s Town New York -Ber en (BK) BOYS TOWN NEW YORK INC IBoys Town New York -Richmond Hill (Qu) Broadway Housing Communities, Inc. Bronx Arts Ensemble Bronx Council On The Arts, Inc. Bronx Defenders BRONX HOUSE - PELHAM PKWY NO LUNCH BRONX JEWISH COMMUNITY COUNCIL Bronx Lebanon Hospital Bronx River Art Center, Inc. BRONXDALE TENANTS LEAGUE DAY CARE CENTER, INC. BRONXWORKS E. ROBERTS MOORE SC BRONXWORKS MORRIS SENIOR CENTER BronxWorks, Inc. BRONXWORKS/EAST CONCOURSE SC Brooklyn AIDS Task Force, Inc. Brooklyn Bureau of Community Services Brooklyn Childrens Museum Brooklyn Chinese American Association Brooklyn Community Housing & Services, Inc Brooklyn Defender Services BROOKLYN DEVELOPMENT CENTER EARLY CHILDHOOD SERVICES, INC. Brooklyn Hospital Cemter Brooklyn Housing and Family Services, Inc. BROOKLYN KINDERGARTEN SOCIETY, INC. Brooklyn Neighborhood Improvement Association BROOKLYN SECTION NATIONAL CNCL BROOKS SENIOR CENTER Brownsville Community Development BUSHWICK COMMUNITY ACTION ASSOCIATION, INC. Bushwick Economic Development Corp BUSHWICK IMPROVEMENT SOCIETY, INC. BUSHWICK UNITED HOUSING DEVELOPMENT CORP CAMBA, Inc. Camelot of Staten Island Inc ,CANAAN SENIOR SERVICE CEN EIP, Inc. CARDINAL MCCLOSKEY SCHOOL AND HOME FOR CHILDREN, INC.

Cardinal McCloskey Services ._...... Career and Educational Consultants CAREER BRIDGE FOe NETWORK CARING COMMUNITY/OUR LADY CARTER BURDEN LUNCHEON CLUB

Exhibit e Page 3 of 21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 71 of 88

CASC CASE ASSISTANTCEfTRANS CASES CEP CASES Nathaniel ACT CASES/Day Custody Program 'Casita Maria, Inc. Catholic Charities Catholic Charities (Beacon of Hope) Catholic Charities Comm Svcs Stapleton Catholic Charities Comm Svcs Wbrighton ICATHOLIC CHARITIES COMM SVS/CYO ,Catholic Charities Community Service, Archdioc,"se of N Y CATHOLIC CHARITIES NEIGHBORHOOD SERVICES, INC Catholic Charities Neighborhood Svcs. (BFFY) CATHOLIC GUARDIAN SOCIETY AND HOME BUREAU CAYUGA HOME FOR CHILDREN INC CCNS BAYSIDE SENIOR CENTER CCNS GLENWOOD SENIOR CTR CCNS HILLCREST SR CTR CCNS MCGUINESS NOSIDE SR C CCNS NARROWS SENIOR CENTE CCNS ST CHARLES JUBILEE SR C CCNS ST LOUIS SENIOR CENTER 62A CCNS STEINWAY SENIOR CENT CCNS THE BAY SENIOR CENTER CCNS/wOODHAVEN SENIOR CENTER Center for Alternative Sentencing and Employment Services, Inc., Center for Appellate Litigation

Center for Community Alternatives(YAP) i Center for Community Alternatives/Crossroads Center for Employment Opportunities ,Center for Family Representation Center for Hearing and Communication !CENTER FOR INTEGRATION AND ADVANCEMENT OF NEW AMERICANS I Center for the Elimination of Violence In the Family Center for the Integration & Advancement of New Americans Center for Urban Community Services, Inc. Central Brooklyn Economic Development Corporation CENTRAL HARLEM SENIOR CEN Central Queens YM & YWHA, Inc CENTRO CIVICO Y CULTURAL AGUADILLANO, iNC. 'CHARLES A WALBURG MULTi SERVICE ORG CHARLES JIN MEDICAL SERVICES CHARLES WALBURG/JACKIE ROBINSON SR CTR CHILD DEVELOPMENT CENTER Child Development Ctr of the Mosholu Montefiore Comm Center Children At Play Early Intervention Center, Inc. Childrens Art Carnival Childrens Arts & Science Workshops, Inc. Children'S Home Intervention Program, Inc. Children'S Place Management, Inc. ,Chinatown Manpower Project, Inc.

Exhibit C Page 4 of 21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 72 of 88

Jchinese American Planning Council Home Attendant Program , Inc

CHINESE-AMERICAN PLANNING COUNCIL INC i Christian Herald HDFC Church Avenue Merchants Block Assn. CITIZENS CARE DAY CARE CENTER INC ~ENS CARE SENIOR CENTER ro Group. Inc. CLAREMEONT NEIGHBORHOOD CENTER. INC. Clarke School for the Deaf d/b/a Clarke NYC Auditgry/Oral Center CLIFFORD GLOVER DAY CARE CENTER. INC. Clinton Housing Development Co. Coalition for Hispanic Family Services COALITION FOR HUMAN HOUSING, INC. Coalition for the Homeless COBO MT CARMEL CENTER 12M COLLEGE COMMUNITY CHILD CARE CENTER COLONY-SOUTH BROOKLYN HOUSES, INC. Columba Services, Inc. COMMITTEE FOR HISPANIC CHILDREN & FAMILIES Common Ground Community Community Access, Inc. COMMUNITY AGENCY FOR SENIOR CIT/NEW LANE COMMUNITY AGENCY FOR SENIOR CITZ COMMUNITY AGENCY/FOREVER YOUNG SENIOR COMMUNITY AND PARENTS FOR CHILD WELFARE, INC. Community Association of Progressive Dominicans. Inc. COMMUNITY COUNSELING AND MEDIATION SERVICES, INC. Community Mediation Services. Inc. COMMUNITY ROUNDTABLE OF BUSHWICK, INC. ComuniLife (HIRE) Conceots of Independence CONCERNED PARENTS OF JAMAICA CONCOURSE DAY CARE CENTER, INC CONCOURSE HOUSE HDFC, INC. , CONEY ISLAND COMMUNITY DAY CARE CENTER. INC. Conscientious MUSical Revues CONSEL YEA STREET BLOCK ASSOCIATION, INC. CONSEL YEA/SWINGING 60S SENIOR CENTER IContemporary Guidance Services CONVENT AVE/HAMIL TON GRANGE SENIOR CE i Cooper Square Community Development & Business Association Cooperative Home Care Associates CORNERSTONE DAY CARE CENTER. INC. CORONA/FLORENCE SMITH SENIOR SERV COTHOA LUNCHEON CLUB SENI Council of Jewish Organizations of Flatbush, Inc. ,Council of Neighborhood Organizations, Inc. County of Westchester Covenant House New York/Under 21, Inc. ICovenant House/Under 21 CPC QUEENS NAN SHAN SENIOR

Exhibit C Page 5 of 21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 73 of 88

CPC/NY CHII\JATOWN SENIOR CENTE CRAWFORD COMMUNITY EARLY LEARNING CENTER. Create, Inc. CRF House East Crossroads School for Child Development i Crown Heights HDFC 1 Crown Heights Jewish Community Council Crown Heights Preservation CUNY-Research Foundation CYPRESS HILLS CHILD CARE CORPORATION CYPRESS HILLS FULTON STREET Cypress Hills Local Development Corporation Darby Nutrition Dietetics Practice DAWNING VILLAGE, INC. DAY CARE COUNCIL OF NEW YORK INC DB Grant Associates Inc 1 Dennelise Corp Directions For Our Youth, Inc. i Discipleship Outreach Ministries, Inc. 1 DOE Fund, Inc. DOMINICAN SISTERS FAMILY HEALTH SERVCES Dominican Women's Development Center DORCHESTER SENIOR CITIZENS DOROT INC DreamYard Project, Inc. Dynamic Center E. Sholom, Inc Early Childhood Associates, LLC Early Sprout, Inc. Early Start, Inc. EAST BROOKLYN DAY CARE CENTER, INC. EAST CALVARY DAY CARE CENTER, INC. EAST ELMHURST DAY CARE CENTER, INC. EAST HARLEM BLOCK NURSERY, INC. East Harlem Council For Community Improvement EAST HARLEM COUNCIL FOR HUMAN SERVICES, INC. East Harlem Employment Services, Inc. East Harlem Tutorial Program, Inc. EAST NEW YORK FAMILY DAY CARE PROCESSING CENTER, INC.

East New York Urban Youth Corps I East NY Development Corporation EAST RIVER CHILDRENS CENTER COMMITTEE, INC EAST SIDE COMMUNITY GROUP East Side House, Inc. EAST TREMONT CHILD CARE AND DEVELOPMENT CENTER, INC. Easter Seals New York Ecumenical Community Development Organization Eden II School for Autistic Children, Inc. Edith and Carl Marks Jewish Community House of Bensonhurst EDSI Education and Assistance Corp

Exhibit C Page 6 of 21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 74 of 88

Educational Alliance, Inc. I Edwin Gould Services for Children & Families, Inc. Edwin Gould/Steps EILEEt\1 DUGAN SENIOR CITIZE EI Barrio's Operation Fiqhtback, Inc. EI Puente De Williamsburg Ellen Cooper Associates, Inc. ELMCOR SENIOR CENTER Emilia's Kids, Inc. EMMANUEL DAY CARE CORPORATION Employment ProCjram for Recovered ... Employment Works Initiative ENCORE COMMUNITY SERVICES ENCORE LUNCHEON CLUB EPISCOPAL COMMUNITY SERVICES LONG ISLAND 1927 Episcopal Health Services, Inc. • Episcopal Social Services, of New York, Inc. Esperanza NY Inc. FAITH HOPE & CHARITY COMMUNITY SERVICE DAY CARE CTR, INC Faith Mission Alcohol Crisis Center, Inc. FAMILY CARE SERVICES FAMILY CENTER INC, THE Farmers Market Federation of New York FedCap Rehabilitation Service Federation Employment and Guidance Service, Inc. Federation of Italian-American Organizations of Brooklyn Federation of Organizations for the New York State Mentally Disabled, Inc. FEGS Fifth Avenue Committee, Inc. FIND AID/PROJECT FIND CLINTON SENIO FIND AID/PROJECT FIND HAMIL TON HOUSE FIND AID/PROJECT FIND WOODSTOCK First Steps FLATBUSH ACTION BOARD OF DIRECTORS Flatbush Action Community Day Care Center, Inc. Flatbush Development Corporation Flemister HDFC Floating Hospital FLUSHING DAY CARE CENTER, INC. Flushing Hospital & Medical Center Food First, Inc.

FORDHAM BEDFORD CHILDRENS SERVICES,INC I FORESTDALE INC 1 Fort Green Senior Citizen Council, Inc. FORT GREENE COUNCIL, INC. Fortune Society Fountain House, Inc. Fresh Youth Initiatives Friends Housing Dev. FRIENDS OF CROWN HEIGHTS EDUCATIONAL CENTERS, INC. FT GREENE COUNCIL/ALBANY SENIOR CT

Exhibit C Page 7 of 21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 75 of 88

FT GREENE COUNCIL/GRACE AGARD FT GREENE COUNCIL/HAZEL BROOKS SR FT GREENE COUNCIL/MARIA LAWTON FT GREENE COUNCIL/REMSEN CENTER FT GREENE COUNCILfTERESA MOORE 23Y FT GREENEfCHRISTOPHER C. BLENMAN SE I FT GREENEfH. GILROY SENIOR CENTER FT GREENEIWILLOUGHBY SENIOR CENTER Functional life Achievement Fund for the City of New York/Center for Court Innovation Fund for the City of New York/Center for Court Innovation (Bronx Community Solutions) G & Y Kids Power, Inc. GAN DAY CARE CENTER. INC. Gay Men of African Descent, Inc. , .. Geel Communit SeNices, Inc. !General Development and Orientation Council, Inc. GEORGE C. CONLIFFE CHILD CARE CENTER INC. G ir Is Educatlona I an d Mentonng SeNlces Inco (GEMS) i Global Kids, Inc. GODDARD RIVERSIDE COMMUNITY CENTER Good Shepherd SeNices IGood Shepherd SeNices - Mandela House (Bx) GOOD SHEPHERD SERVICES - SHARP HOUSE Goodwill Industries of Greater New York and Northern New Jersey, Inc.

Gotham Per Diem, Inc. I GRACE PRE-SCHOOL DAY CARE CENTER, INC. GRAHAM WINDHAM INC. Grand Street Settlement, Inc. GREATER FLUSHING COMMUNITY COUNCIL, INC. : Greater Ridgewood Youth Council, Inc. Greenhope SeNlces For Women, Inc. Greenwich House, Inc. Groundwork Inc. Guardians of the Sick, Inc. GUSTAVUS ADOLPHUS LUTHERAN HEL.P. DAY CARE CORPORATION HAITIAN-AMERICAN DAY CARE CENTER, INC I HALLET COVE CHILD DEVELOPMENT CENTER. INC. I HAMIL TON-MADISON HOUSE, INC. HANAC ANGELO PETROMELIS S

'HANAC Inc I HANAC RAVENSWOOD SENIOR CENTER Hand In Hand Development, Inc. Happy Dragon of New York I Happy Dragon USA HARLEM CHILDREN'S ZONE INC Harlem Commonwealth Council Inc HARLEM DOWLING WESTSIDE CTR FOR CHILDREN & FAMILY SERVICES Harlem RBI (Reviving Baseball in Inner Cities Harlem United

Exhibit C Page 8 of 21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 76 of 88

Harlem United AIDS Harlem United Community AIDS Center HARTLEY HOUSE, INC. HAVVTHORNE CORNERS DAY CARE CENTER. INC. ,Health and Hospitals Corp. I Elmhurst Hospital iHEALTH RESEARCH. INCORPORATED .Hear Me S eak Heartshare Human Services HEARTSHARE HUMAN SERVICES OF NE.:.-W_Y'--'O:....:.R..:.:..K~______---i Hebrew Academy for Special Children Inc. Hebrew Educational Society HEBREW INSTITUTE FOR THE DEAF & EXCEPTIONAL CHILDREN, INC. HEBREW KINDERGARTEN & INFANTS HOME,=------~------~ INC. HEIGHTS AND HILLS COMMUNITY CNCL Helen Keller Services for the Blind HELLENIC AMERICAN NEIGHBORHOOD ACTION Hellenic American Neighborhood Action Committee (HANAC) HELP Bronx HELP Social Services Corp. Henkels & McCoy. Inc. HENRY ST/GOOD COMPANIONS NUTRITIO HENRY STREET SETrLEMENT, INC. Herbert G. Birch Family Services, Inc HHC - Queens Hospital Center HHC - Renaissance Healthcare Network HIGHBRIDGE ADVISORY COUNCIL FAMILY SERVICES, INC. Highbridge Community Life Center (HCLC) Highland Park Community Corporation ,HILLCREST EDUCATIONAL CENTER, INC. !HMH/CITY HALL SENIOR CENTER Home Life! Starbright Home Services System Homecrest Community Services, Inc HOMES FOR THE HOMELESS, INC. Hope Community. Inc. HOPE OF ISRAEL •Hospital Audiences, Inc. Housing Works. Inc. , HTA of New York Hudson Guild HUDSON GUILD SENIOR SVCS HUNTS POINT MUL TI·SERVICE CENTER, INC. HUNTS PTIDOUGLAS LEON SENIOR CENTER HUNTS PT/MARIA ISABEL SENIOR CTR Icahn House East, LLC ICD International Center for the Disabled (Not in FMS) Imani House. Inc.

Imeinu, Inc. i Immaculata Hall HDFC Immigrant Social Services, inc. Important Steps, Inc.

Exhibit C Page 9 of 21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 77 of 88

Included Educational Services I Indochina Sino American Community Center , Institute for Basic Research Development Disabilities Institute for Community Living, Inc. Institute for Mediation and Conflict Resolution, Inc Institute For Puerto Rican Hispanic Elderly, Inc. INSTITUTE FOR THE PUERTO RICAN HISPANIC ELDERLY/CARVER INSTITUTE FOR THE PUERTO RICAN HISPANIC ELDERLY/ARTHURO INSTITUTE FOR THE PUERTO RICAN HISPANIC ELDERLY/BETANCES Institutes of Applied Human Dynamics Inwood Community Services, Inc. INWOOD HOUSE, INC. IPRHE CORONA SENIOR CENTER I ,IPRHE/BRONX RIVER SENIOR CENTER

i IPRHE/ELMHURST JACKSON HEIGHTS IPRHE/JAMES MONROE SENIOR CTR IPRHE/LEONARD COVELLO SENIOR CE ISABELLA GERIATRIC CENTER Island Peer Review Organization Italian American Civil Rights League Italian Senior Citizens Jackson Children's Services JACOB A RIIS/QUEENSBRIDGE Jacob A Riis Neighborhood Settlement, Inc. JAMAICA CHILD CARE CENTER, INC. JAMAICA NAACP DAY CARE CENTER, INC. Jamaica Service Proqram for Older Adults, Inc. JAMAICA SERVICES PROGRAM FOR OLDER ADULTS/FRIENDSHIP JAMES L. VARICK COMMUNITY CENTER, INC. JAPANESE AMERICAN SOCIAL SVCS JASA BROOKDALE JASA BX SPECL NEEDS UNIT JASA CANARSIE JASA LEGAL SERVICES JASA ROCKAWAY PAR SENIOR CEN JASA ROY REUTHER ,JASA SENIOR CENTERS .JASA SR. ALLIANCE/LUNA PARK iJASA THROGS NECK SENIOR CE JASACO-OP CITY JASAIVAN CORTLANDT SENIOR CENT JCC OF GCI/HABER HOUSES SENIOR CENTE JCC OF GCI/MARLBORO SENIOR CENTER JCC OF GCI/OCEAN PARKWAY SENIOR CITI JCC OF GCI/SURF SOLOMON SENIOR CENTE JCC OF GREATER CONEY ISLAND JCC OF GREATER CONEY ISLAND SHOREFRONT JCC of Rockaway Peninsula JCC SR KOSHER NUTRITION SE Jericho Project Jericho-Residence IV HDFC

Exhibit C Page 10 of 21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 78 of 88

JEWISH ASSOCIATION FOR SERVICES FOR THE AGED JEWISH ASSOCIATION FOR SERVICES FOR THE AGED IMANHATTAN BEACH JEWISH ASSOCIATION FOR SERVICES FOR THE AGED ISHOREFRONT JEWISH BOARD OF FAMILY AND CHILDREN'S SERVICES INC Jewish Care of Services of LonC1 Island JEWISH CHILD CARE ASSOC. INC. Jewish Child Care Association of New York Jewish Community Center of Staten Island, Inc. JEWISH COMMUNITY COUNCIL OF GCI JEWISH COMMUNITY COUNCIL OF GCI/JA Y Jewish Community Council of Greater Coney Island, Inc. Jewish Institute of Queens John A Coleman School JOHN EDWARD BRUCE DAY CARE CENTER, INC. JSPOA ROCKAWAY BLVD SR CT JSPOA THEODORA JACKSON SR. JSPOA TRANSPORTATION Just Us, Inc. Kennedy Child Study Center Kidcare Associates, Inc. KIDS ETCETERA DAY CARE CENTER, INC. KidsKare, LLC KINGSBRIDGE HEIGHTS COMMUNITY CENTER, THE Kips Bay Boys & Girls Club KIPS BAY CASTLE HILL SR CTR KOREAN COMMUNITY SERVICES OF METROPOLITAN NY La Asociacion Benefica Cultural Father Billini LABOR BATHGATE COMMUNITY CHILD CARE BOARD Lantern Community Services, Inc LAUREL TON SPRINGFIELD COMMUNITY DAY CARE, INC. LEAGUE FOR BETTER COMMUNITY LIFE, INC. LEAKE AND WATTS SERVICES, INC. Learning Through An Expanded Arts Program, Inc. Legal Aid Society Legal Outreach, Inc LEGAL SERVICES FOR NEW YORK Legal Services New York City LENOX HILL NEIGHBORHOOD HOUSE, INC. LENOX HILL SR CTR Lesbian & Gay Community Services Center, Inc. LEXINGTON CHILDREN CENTER, INC. Lexington Hearing & Speech Center Inc. I Lifespire, Inc. Lighthouse International LINCOLN SQUARE NEIGHBORHOOD CENTER, INC. UTTLE FLOWER CHILDREN'S & FAMILY SERVICES OF NEW YORK Little Meadows Early Childhood Center Little Sisters of the Assumption Family Health Service, Inc. LITTLE SUN PEOPLE, INC. Little Wonders, Inc. Long Island Center for Child Development. Inc.

Exhibit C Page 11 of 21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 79 of 88

Long Island Jewish Medical Center ILong Island University ILos Ninos Services, Inc. !LOWER EAST SIDE FAMilY UNION

I Lower East Side Service Center Lower West Side Household Services Cop LSA FAMILY HEAL TH SERVICE, INC. LSNY-BRONX CORPORATION Lutheran Medical Center ! LUTHERAN SOCIAL SERVICES OF METROPOUTAN NY i . Madison Square Boys & Girls Club I Make the Road New York MALCOLM X DAY CARE CENTER OF CORONA - EAST ELMHURST, INC. I Manhattan Legal Services I Manhattan Youth Recreation and Resources, Inc. MAPLETON MIDWOOD GERIAT I Marathon Infants & Toddlers, Inc. MARBLE HILL NURSERY SCHOOL, INC. ! MARC ACADEMY AND FAMILY CENTER, INC. I M arion K S aomon I MARY MCLEOD BETHUNE DAY CARE CENTER, INC. Maspeth Town Hall, Inc MEALS ON WHEELS OF STATEN ISLAND MENTAL HEALTH ASSOCIATION OF NYC INC THE IMental Health Providers of Western Queens MERCYFIRST , .MER R ILL PA R K CVI I CAS SO C IATION : Metro Children's Services, Inc. Metro Therapy, Inc. Metropolitan NY Coord. Council on Jewish Poverty MFY LEGAL SERVICES INC IMID BRONX CCRP EARLY CHILDHOOD CENTER. INC. MID BRONX SENIOR CITIZENS COUNCIL INC Mid Island Therapy Associates, LLC d/b/a All About Kids Midwood Development Corporation Milestone Early Intervention Center Momentum Project MONTEFIORE MEDICAL CENTER MONTESSORI PROGRESSIVE LEARNING CENTER, INC. I Morningside Center for Teaching Social Responsibility, Inc. i MORNINGSIDE RETIREMENT & HEALTH Morris Heights Health Center, Inc. Morrisania Revitalization Corporation MOSDOTH DAY CARE CENTER, INC. MOSHOLU MONTEFIORE COMMUNITY CENTER. INC Mount Hope Housing Company Msgr. Robert Fox Memorial Shelter Mt. Sinai Hospital NADAP NASRY MICHELEN DAY CARE CENTER, INC. National Alliance for the Mentally III of New York City, Inc.

Exhibit C Page 12 of 21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 80 of 88

INational Society for Hebrew Day School 'NATIONAL SORORITY OF PHI DELTA KAPPA BETA OMICRON CHAPTER ! Neigh Initiative De\!. Corp. Neighborhood Association for Inter-Cultural Affairs (NAICA) NEIGHBORHOOD DAY I\JURSERY OF HARLEM, INC. t'-jeighborhood Initiatives Development Corporation Neighborhood Self-Help by Older Persons Projects, Inc. NEIGHBORHOOD SHOPP CASA B ~HBORHOOD SHOPP-SNAP I ALTERNATIVES FOR CHILDREN INC New Ufe Child Development Corporation New Settlement Apartments New York Asian Women's Center, Inc. I New York Center for Child Development , New York Center for Interpersonal Development iNew York Child Resource Center Inc. New York City Department of Education , New York City Gay &Lesbian New York City Housing Authority New York City Mission Society New York Count Defender Services NEW YORK FOUNDATION FOR SENIOR CITIZENS ORK FOUNDATION FOR SENIOR/MOTT ORK FOUNDLING HOSPITAL

Inc.

Non-Profit Assistance Cor Nontraditional Emplo ment for Women NORTH BRONX NCNW CHILD DEVELOPMENT CENTER, INC. North Brookl n Development Corporation ,North General NORTHEAST BRONX DAY CARE CENTERS, INC. NORTHEAST BRONX SENIOR CITIZENS i Northern Manhattan Improvement Corp I NORTHFIELD COMMUNITY LDC OF SI Northside Center for Child Development =HSIDE CENTER FOR CHILD DEVELOPMENT INC TROS NINOS DAY CARE CENTER, INC. 1 Number One SRO, HDFC NY Center for Infant & Toddlers , NY FDTN HOME SHARING NY Society for the relief of the Ruptured & Crippled dba Hospital for Special Surqerv . NY Urban League :NYC Criminal Justice Agency NYF/DYCKMAN SENIOR CENTER NYF/LA GUARDIA SENIOR CENTER NYSARC, INC.

Exhibit C Page 13 of 21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 81 of 88

NYSARC, lnG, - New York City Chapter (AHRC) i Odyssey House HDFC Odyssey House, Inc: Office of the Appellate Defender OHEL CHILDRENS HOME AND FAMILY SERVICES INC iOHEL SARAH DAY CARE CENTER, INC. OMEGA PSI PHI FRATERNITY NU-OMICRON CHAPTER ECEC

On Your Mark, Inc. ONE STOP SENIOR SERVICES OPEN DOOR ASSOCIATES INC Opportunities for a Better Tomorrow l Osborne Treatment Services/E I Rio Palladia, Inc. i PAMELA C, TORRES DAY CARE CENTER, INC. 1 PARK SLOPE COMMUNITY CENTER, INC. IPARK SLOPE NORTH CHILD DEVELOPMENT CENTER, INC, PARK SLOPE SENIOR CITIZENS CTR Partnership for the Homeless/ Prevention i Partnership for the Homeless, Inc. l Pathways to Housinq, Inc. I Pediatric Occupational Therapy Associates, P.C. PENN SOUTH SOCIAL SERVICES PEOPLE CARE PEQUENOS SOULS DAY CARE CENTER, INC. Per Scholas Inc Personal Touch Home Care, Inc. Personal Touch, Inc. PETER CARDELLA SENIOR CITZEN CENTER

PHILIP H. MICHAELS CHILD CARE CENTER, INC. I Phipps Community Development ! PHS Dental PHS Medical Pibly Residential Programs, Inc. Planned Parenthood of NYC PLEASANT AVENUE DAY CARE CENTER. INC. i Police Athletic League, Inc. POLISH & SLAVIC/JOHN PAUL II FRIENDSHIP CLUB POLISH & SLAVIC/KRAKUS LUNCHEON CLUB Polonians Organized to Minister to Our Community POMOC Postgraduate Center for Mental Health Pratt Area Comm, Cncl Premier Home Health Presbyterian Senior Services PRESBYTERIAN SENIOR SERVICES/ANDREW JACKSON PRESBYTERIAN SENIOR SERVICES/CITY ISLAND PRESBYTERIAN SENIOR SERVICES1HIGHBRIDGE PRINCE HALL SERVICE FUND, INC.

Exhibit C Page 14 of 21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 82 of 88

PROMESA, INC. Prospect Park YMCA New Americans Welcome Center PSS/PARKSIDE SENIOR CENTER . ~~~~~~~------I Public Health Solutions . PUERTO RICAN COUNCIL DAY CARE CENTER, INC PUERTO RICAN FAMILY INSTITUTE QSAC, Inc. QUEENS COMMUNITY HOUSE , INC QUEENS COMMUNITY HOUSE/POMONOK SENIOR CENTER QUEENS COUNTY EDUCATORS FOR TOMORROW INC. Queens Law Associates Queens Legal Services, Corp. QUEENSBORO COUNCIL FOR SOCIAL WELFARE QUEENSBRIDGE DAY CARE CENTER, INC. QUO VADIS MONTESSORI DAY CARE CENTER. INC. RAIN BOSTON SECOR SENIOR RAIN EASTCHESTER SENIOR 12H IR.AI.N. GUNHILL SENIOR CENT RABBI ISRAEL/MIDDLE VILLAGE RAICES CORONA SENIOR CENT RAICES RED HOOK SENIOR CENTER RAICESIWYCKOFF GARDENS SENIOR CE RAIN RAIN COLLEGE AVE SENIOR CENTER RAIN East Tremont RAIN ONE-STOP SERVICES TO T RAIN PARKCHESTER SENIOR CE , .RAIN/BOSTON EAST •RAIN/BOSTON RD RBSCC RBSCC DIANA JONES SENIOR CENTER RBSCC/ATLANTIC SENIOR CENTER RECREATION ROOMS AND SETILEMENT RED BALLOON DAY CARE CENTER INC Red Hook Initiative, Inc. REGIONAL AID FOR INTERIM NEEDS Regional Aid For Interim Needs, Inc. (RAIN) REGIONAL AID FOR INTERIM NEEDS/INWOOD REGIONAL AID FOR INTERIM NEEDS/MIDDLETOWN REGIONAL AID FOR INTERIM NEEDS/NEREID • Rehab Care Professionals, Inc. I RENA DAY CARE CENTER, INC. Research Foundation of CUNY

I Research Foundation of CUNY on Behalf of Bronx Comm. College Research Foundation of CUNY/ CUNY Creative Arts Team Inc Research Foundation of CUNY/Brooklyn College Research Foundation of CUNY/Medqar Evers Colleqe RESERVE ELDER SERVICE Restaurant Opportunities Center of NY RICHMOND HOME NEED SERVICES Richmond University Medical Center

Exhibit C Page 15 of 21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 83 of 88

IRidgewood Bushwick RIDGEWOOD BUSHWICK HOME RIDGEWOOD BUSHWICK SENIOR CIT/BORINQUEN

i Rid ewood Bushwick Senior Citizens Council RIDGEWOOD BUSHWICK SENIOR CITIZENS/HOPE RIDGEWOOD BUSHWICK SENIOR CITIZENS/ROUNDTABLE RIDGEWOOD BUSHWICKICASE MANAGEMENT IRIDGEWOOD OLDER ADUL T CT I Right Start Riverdale Community Center, Inc. RIVERDALE SENIOR CENTER

I RIVERDALE SENIOR SERVICES RIVERSTONE SENIOR LIFE •Riverstone Senior Life Services, Inc. ROCHDALE VILlAGE NURSERY SCHOOL, INC. ROCHDALE VILlAGE SOCIAL SERVICES Rockaway Artist Alliance, Inc. Rockaway Development & Revitalization Corporation Rocking the Boat, Inc. Rockland Child Development Services Inc . •ROOSEVELT ISlAND SENIORS ASSOCIATION Rosalia-Regina Pacis Neighborhood Improvement Associatio !Ryer Ave SAFE HORIZON, INC. (VICTIM SERVICES) Safe Space NYC, Inc. Saint Dominic's Home SAINT JOHNS DAY CARE CENTER, INC. Sakhi for South Asian Women SALEM COMMUNITY SERVICE COUNCIL, INC. ! Sa Iva I Ion A rmy Samaritan Village SAMARITANIWOODSIDE SENIOR CENTER Samuel Field YM & YWHA, Inc. Samuel Proctor HDFC Sanctuary for Families, Inc. SAUTI YETU CENTER FOR AFRICAN WOMEN INC Sa uti Yetu Center for African Women, Inc. SCAN - NY (SUPPORT CHILDRENS ADVOCACY NETWORK) INC. I SCAN (SUPPORTIVE CHILDREN'S ADVOCACY NETWORK) NY VOLUNT I School Settlement Association SCO FAMILY OF SERVICES EAST WILLlAMSBURGH SCO Famllyo I f S ervlces (SI Ch rlS. I op h er-Ott lieI ) SCO Family of Services, Inc. SEABURY DAY CARE CENTER, INC. Seamen's Society for Children & Families SEBCO Development, Inc. SEBCO SENIOR PROGRAMS Second Henry Street, HDFC SEEDCO Inc Self Help Community Services SELFHELP CONSOLIDATED SENI

Exhibit C Page 16 of 21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 84 of 88

SENIOR ACTION IN A GAY ENVIRONMENT INC SENIORS HELPING SENIORS Sephardic Community Center I

SEPHARDIC MULTI SERVICE CENTER I SEPHARDIC MULTI SERVICE CENTER/HOUSE OF JACOB SeNices for the UnderseNed, Inc. I SERVICES NOW FOR ADULT PERSONS Sesame Flyers International, Inc SHARON BAPTIST BOARD OF DIRECTORS, INC. SHELTERING ARMS DAY CARE SERVICES, INC. Shema Kolainu - Hear Our Voices SHIRLEY CHISHOLM DAY CARE CENTER, INC. Shorefront Jewish Community Council Shorefront YM-YWHA I SI COMM SVS/NEW DORP FRIENDSHIP CLUB I SI COMM SVS/STATEN ISLAND FRIENDSHIP CL i Simpson Street Development Association, Inc. Sky Light Center, Inc. South Bronx Action Group South Bronx Overall Economic Development Corp. South Brooklyn Legal SeNices I South Queens Boys & Girls Club South Street Secport Museum Southeast Bronx Neighborhood Center, Inc. (SEBNC) SOUTHEAST BRONX NEIGHBORHOOD CENTERS, INC. SOUTHEAST QUEENS MULTI SERVICE SOUTHERN QUEENS PARK ASSOC. INC. Southside United Development Fund Corp SOUTHSIDE/LOS SURES SR CTR

Sports and Arts In Schools Foundation, Inc. : SR CITIZENS LEAGUE OF FLATB ST DOMINIC'S HOME ST GABRIELS EPISCOPAL CHURCH ST JOHN ST MATIHEW/PROSPECT HILL SR SVS ST JOHNS PLACE FAMILY CENTER HOUSING DEVELOPMENT FUND CORP ST JOHNS/FT HAMILTON-ST JOHNS NUTRI ST LUKE'S-ROOSEVEL T HOSPITAL CENTER ST VINCENT'S SERVICES II\JC S!. Anthony's Residence HDFC S!. Barnabas Hospital Sl. Cabrini Home S1. CHRISTOPHER'S, INC. St. John's Residence (Qu) S!. John's University St. Mary:s Community SeNices, Inc. St. Mary's HDFC SI. Mary's Hospital for Children, Inc. ! SI. Nicholas NPC Sl. Nicks Alliance Corp. S!. Raymond Community Outreach Sl. Rosalia-Regina Pacis Neighborhood Improvement Associatio

Exhibit C Page 17 of 21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 85 of 88

ST VINCENT'S HOSPITALIMEDICAL CENTER STANLEY M ISAACS NEIGHBORHOOD CENTER i Staten Island Aid for Retarded Children, Inc. dba Community Resources I Staten Island Behavioral Network, Inc , Staten Island Mental Health Society. Inc i Staten Island University Hospital Steinway Child and Family Services, Inc. Step by Step Infant development Center Stepping Stone Day School, Inc. StriVright, Inc. Stryckers Bay Neighborhood Council, Inc. Sunny Days Early Childhood Developmental Services, Inc. Sunnyside Community Service, Inc. SUNNYSIDE HOME CARE Sunset Bay Community Services, Inc SUNSET BAY/SUNSET PARK SENIOR CITIZENS Supportive Childrens Advocacy Network (SCAN) TABERNACLE CHURCH OF GOD, INC. iTADA! Theatre and Dance Alliance, Inc ~b Center for Refugees American Family Support Center The Bridge, Inc. The Carter Burden Center The Child Center of NY, Inc. The Children's Aid Society The Children's Center for Early Intervention, Inc. The Children's Village The Coalition of Behavioral Health Agencies, Inc. : The Crenulated Company Ltd THE DENNELISSE CORP. The Doe Fund The Door - A Center of Alternatives The East New York Learning Center, Inc THE EDUCATIONAL ALLIANCE, INC. i THE EDUCATIONAL ALLIANCE/SIROVICH SENIOR CENTER/SIROVICH The Floating Hospital The Fortune Society, Inc. The Fortune Society/DAMAS The Fortune Society/Flametree The Fortune Society/Freedom The Friends of Crown Hei hts Educational Center

Korean American Family Services Center : Mental Health Association of New York City, Inc. NEW LIFE CHILD DEVELOPMENT CENTER. INC and Ear Infirmary The Osborne Association, Inc. The Partnership for the Homeless. Inc. The Research Foundation of State University of New York The Salvation Army The Samaritans of New York, Inc.

Exhibit C Page 18 of 21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 86 of 88

The Spanish Speaking Elderly THE SPANISH SPEAKING ELDERLYfTlMES PLAZA The Young Womens Christian Association of Queens TheraCare of New York, Inc. I Therapeutic Imprints, Inc. Therapeutic Resources Physical Therapy, LLP i Therapy and LearninQ Center These Our Treasures, Inc. THROGGS NECK CHilD CARE CENTER Thursday's Child, Inc. Toddler-Infant Program for Special Education, Inc. Tolentine-Zeiser Community Life Center, Inc Tourette Syndrome Association, Inc. i Transitional Services for New York, Inc. ! TREMONT COMMUNITY SENIOR Tremont Crotona Day Care Center, Inc TREMONT MONTEREY DAY CARE CENTER INC. TRUSTEES OF COLUMBIA Turning Point Turning Point HDFC TWIN PARKS CHILD CARE CENTER, INC. UBA BEATRICE lEWIS SENIOR UBA/A PHILIP RANDOLPH SENIOR CE UBA/M MCLEOD UBA/MAN HATTANVI LLE -RIVERDALE UJC ADULT LUNCHEON CLUB UJO of Williamsburg Inc ! Under 21 New York City

UNION SETTLEMENT ASSOCIATION, INC. i UNION/CORSI HOUSE SENIOR CENTER ! UNITAS THERAPEUTIC COMMUNITY United Activities Unlimited, Inc. UNITED BRONX PARENTS,INC.

United Cerebral Palsy of Queens, Inc. i United Community Centers i United Community Day Care Center, Inc ! UNITED FEDERATION OF BLACK COMMUNITY ORGANIZATIONS, INC UNITED HINDU CULTURAL COUNCIL I UNITED INTERFAITH ACTION COUNCil OF BROOKLYN, INC. ~ United Jewish Organization of Williamsburg I UNITED lUBAVITCHER YESHIVA UNITED PARENTS COMMUNITY CORPORATION UNITED SENIOR CITIZENS CTR OF SUNSET PARK UNIV SETTLEMENT SOCIETY / NUTRITION UNIVERSITY BEHAVIORAL ASSOCIATES,INC. University Consutation & Treatment University Settlement Society of New York, Inc i Up Wee Grow, Inc. UPPER BRONX NEIGHBORHOOD ASSOCIATION FOR PR AFFAIRS, INC Urban Justice Center Urban Pathways, Inc.

Exhibit C Page 19 of 21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 87 of 88

Urban Strategies, Inc.

Urban Youth Alliance International I UTOPIA CHILDRENS CENTER, INC. Vannguard Urban Improvement Association, Inc. iVariety Boys & Girls Club of Queens, Inc. Venture House, Inc.

Violence Intervention Program I VIP Health Care ; VIP HEALTH CARE / KWIK CARE LTD VIP Health Care Services I VIsion Urbana, Inc. IVisiting Nurse Association Health Care Services, Inc. I Visiting Nurse Service of New York Home Care I VOCATIONAL INSTRUCTIONAL PROJECT COMMUNITY SERVICES INC Volunteers of America, Inc. I WASH HGTS COMMUNITY SVC l WASHINGTON HEIGHTS CHILD CARE CENTER INC Washington Heights- Inwood Coalition, Inc Wayside Out Reach Development, Inc WAYSIDE/ROSETTA GASTON SENIOR CEN WAYSIDEITILDEN SENIOR CENTER WAYSIDENAN DYKE SR CTR West End Interqenerational West Side Campaign Against Hunger/ Chruch of st. paul WEST SIDE FEDERATION FOR SENIOR & SUPPORTIVE HOUSING INC WEST SIDE FEDERATION FOR SENIOR 32Y WEST SIDE MONTESSORI SCHOOL WESTCHESTER TREMONT DAY CARE CENTER, INC. Weston United Community Renewal, Inc. IWestside Federation For Senior & Suportive William F. Ryan Community Health Center WILLIAM HODSON SENIOR CEN WILLlAMSBRIDGE NAACP EARLY CHILDHOOD EDUCATION CENTER, INC Wllhamsburg Infant & Early Childhood Development Center, Inc. ,Women In Need Inc Women's Housinq and Economic Development Corporation (WHEDCO ! Women's League Community Residences Inc. I Women's Prison Association Women's Prison Association (WPA) Woodside On The Move, Inc. l Woodstock HDFC Woodycrest Center For Human Development Yeled V'Yalda Early Childhood Center, Inc, YESHIVA KEHILATH YAKOV Yeshiva Kehilath Yakov (Parent Hdqtrsl YESHIVA TIFERETH MOSHE, INC. Yeshiva Univ., Albert Einstein Collel=le of Medicine iYMCA OF GREATER NEW YORK YMCA of Greater New York - Virtual Y YMCA of Greater New York/Bedford Stuyvesant iYMCA of Greater New York/Bronx

Exhibit C Page 20 of 21 Case 1:05-cv-05442-SAS Document 202 Filed 01/03/13 Page 88 of 88

YMCA of Greater New York/Chinatown YMCA of Greater New York/Corporate YMCA of Greater New York/Eastern District YMCA of Greater New York/Flatbush Branch YMCA of Greater New YorklFlushin YMCA of Greater New YorklProspect Park YMCA of Greater New YorkNanderbilt YMYWHA OF THE BRONX RIVERDALE/DORA YM-YWHA of Washin ton Heights Inwood You Participate In Solutions/ New York Center for Interpersonal Development Young Adu It J ustlce Program RFP Young Athletes, Inc. Young Dancers In Repertory, Inc . .YOUNG ISRAEL FOREST HILLS S YOUNG ISRAEL OF BEDFORD BAY YOUNG ISRAEL PROGRAMS/MIDWOOD YOUNGISRAELPROGRAMS/wAVECREST YOUNG ISRAEL QUEENS VALLEY Youth Development Institute A program of the Tides Center Youth Ministries for Peace and Justice IYWCA OF THE CITY OF NEW YORK YWCA of the City of New York (Main Branch)

Exhibit C Page 21 of 21